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Texas Capital is a regional bank focused on providing bankers with expertise, growing relationships. This role serves as the senior strategic leader in investment banking compliance, reporting to the Chief Compliance Officer for TCBI Securities, Inc.

• Shape the firm’s overall compliance program architecture, aligned with enterprise risk appetite and regulatory expectations.
• Monitor and optimize control design, implementation and testing across all business units.
• Exercise independent authority to approve or reject compliance exceptions; determine escalation thresholds; initiate investigations; enforce compliance policies consistently and fairly across all business lines and personnel levels, including senior management.
• Serve as primary relationship manager with SEC and FINRA examination teams; lead responses to regulatory inquiries, comment letters, examination findings and prepare exam readiness materials.
• Manage corrective action plans and oversight of remediation timelines.
• Research, interpret and implement SEC Rules 17a‑3, 17a‑4, 15c3‑1, 15c3‑3 and FINRA Rules 4530, 3120, 3130, 3110, 2210, maintaining current knowledge of rule changes and emerging regulatory expectations.
• Update and synchronize written supervisory procedures, compliance manual, code of conduct, operational process documents and exception management policies.
• Coordinate the compliance and risk components of new product and service review processes, assessing potential regulatory, reputational, operational and market risk.
• Determine required pre‑launch controls, surveillance mechanisms and compliance approvals.
• Oversee surveillance for trading misconduct including market manipulation, fraud, layering, spoofing and wash sales; ensure trade reporting accuracy; review and challenge trading exception reports and escalations. Develop and oversee surveillance for foreign exchange, swaps, commodities and OTC derivatives transactions, including position limits, counterparty risk acknowledgments and regulatory reporting; ensure compliance with Dodd‑Frank derivatives regulations and SRO requirements.
• Monitor equity research independence, timeliness of disclosures, pre‑publication review, conflicts of interest disclosure and fair allocation policies.
• Certify effectiveness of controls; remediate control deficiencies and track testing results. Direct investigations into potential compliance violations, trading misconduct and regulatory breaches; document findings and determine appropriate escalation, discipline or regulatory disclosure.
• Develop and deliver firm element continuing education content to associated persons; oversee tracking of regulatory and firm element training completion. Ensure training covers key risk areas and regulatory updates.
• Interact directly with SEC and FINRA examination teams, law enforcement and other regulators; respond to regulatory inquiries, prepare comment letters and maintain appropriate documentation of regulatory communications. Issue compliance advisories and guidance to business divisions on new regulatory requirements, exam findings, market trends and internal policy updates.
• Collaborate with Internal Audit (3LOD) on audit scopes, control assessments and remediation tracking; ensure compliance‑related audit findings are addressed timely.
• Partner with enterprise risk, business partners and technology to operationalize risk management frameworks consistent with the firm’s risk appetite statement.
• Serve as 2LOD subject matter expert on compliance and regulatory risk; review and provide independent, rigorous challenge to risk assessments, risk appetite statements, business plans and control design materials.

• Bachelor’s degree (preferred in Finance, Accounting, Business, Analytics, Computer Science) or equivalent combination of education, training and experience.
• Minimum 7 years of progressive compliance experience within a broker/dealer operating as an affiliate, subsidiary or division of a bank and/or registered investment advisor.
• Deep, demonstrated knowledge of SEC and FINRA regulations, supervisory requirements and examination standards.
• Proven experience implementing policies, controls and procedures in response to regulatory rules and expectations.
• Significant experience with equity and/or derivatives trading surveillance, market abuse/manipulation detection, trade reporting and regulatory inquiry response.
• Familiarity with surveillance tools and forensic analysis of trading data.
• Specific experience with compliance challenges in FX, swaps, options and other OTC derivatives, including Dodd‑Frank compliance, position management and regulatory reporting.
• Experience responding to SEC and/or FINRA examinations, managing exam findings, preparing corrective action plans and representing the firm to regulators. Prior FINRA examination experience (as compliance professional or examiner) is a strong plus.
• Required: Series24,7 and63. Preferred additional: Series3,7,57 and53. Juris Doctor (JD) with securities law specialization a plus.
• Full‑time, on premises at the firm’s Dallas, Texas headquarters.
• Expert ability to analyze risk concentration areas, risk profiles and risk data; advanced written, negotiation and influence skills; strong attention to detail in a deadline‑focused environment.
• Advanced analytical, critical thinking and problem‑solving skills; ability to identify potential risks and raise to appropriate levels; maintain confidentiality and trust.
• Strong technical proficiency in MS Office products for reporting, data analytics and presentations.

TexasCapital is an Equal Opportunity Employer.