Control Room Group Manager

Control Room Manager

Texas Capital is built to help businesses and their leaders. Our depth of knowledge and expertise allows us to bring the best of the big firms at a scale that works for our clients, with highly experienced bankers who truly invest in people's success today and tomorrow. While we are rooted in core financial products, we are differentiated by our approach. Our bankers are seasoned financial experts who possess deep experience across a multitude of industries. Equally important, they bring commitment investing the time and resources to understand our clients' immediate needs, identify market opportunities and meet long-term objectives. At Texas Capital, we do more than build business success. We build long-lasting relationships.

Texas Capital provides a variety of benefits to colleagues, including health insurance coverage, wellness program, fertility and family building aids, life and disability insurance, retirement savings plans with a generous 401K match, paid leave programs, paid holidays, and paid time off (PTO). Headquartered in Dallas with offices in Austin, Fort Worth, Houston, Richardson, Plano and San Antonio, Texas Capital was recently named Best Regional Bank in 2024 by Bankrate and was named to The Dallas Morning News' Dallas-Fort Worth metroplex Top Workplaces 2023 and GoBankingRate's 2023 list of Best Regional Banks.

Brief Overview of Position

The Control Room Manager is a key advisory position within the Corporate Compliance function responsible to oversee and administer the firm's Conflicts of Interest (COI) and Control Room (CR) regulatory compliance programs as they relate to enterprise-wide regulatory and reputational risk. The responsibilities of this role also include identifying and managing strategic goals and corporate initiatives and ensuring that business processes and controls are compliant with and support adherence to applicable laws, regulations and internal policy.

This role reports to the Texas Capital Bank's Chief Compliance Officer and is part of the Compliance Department.

Responsibilities

• Design, develop, execute and oversee an effective COI Program by enabling the identification, operationalization, and communication of applicable federal and state regulations regarding COI
• Foster an understanding of associated COI risks across the entire organization and implementation of suitable risk mitigation strategies
• Identify and oversee the Control Room which consists of investment banking deals, MNPI mitigation, Watch and Restricted Lists, acting as a resource for research COI mitigation including required chaperoning of research analyst interaction with investment bankers.
• Act as a trusted advisor and primary COI subject matter expert to / for internal and external stakeholders
• Provide guidance to the relevant business (1LOD) and independent risk management (2LOD) concerning suggested policies, procedures, practices and controls
• Manage a 2-4 person team of subject matter experts
• Drive and influence compliance enhancements at all levels of the business consistent with the enterprise's risk profile
• Act as a key liaison during regulatory exams, internal audits, and 2LOD testing
• Assist in the execution of and act as key advisor for the firm's Regulatory Compliance Risk Assessments
• Design and deliver management reporting on KRIs, KPIs, and any significant developments within the COI Program
• Prepare and deliver FINRA Firm Element Continuing Education training
• Maintain knowledge of applicable rule changes and latest industry guidelines and best practices
• Manage departmental expenses and annual budget
• Recruit, train, and retain talent within the department
• Demonstrate sound judgement and leadership in a fast-paced, dynamic, collaborative, and transformative environment
• Manage and execute multiple complex projects within the required timelines

Qualifications

The duties listed above are the essential functions, or fundamental duties within the job classification. The essential functions of individual positions within the classification may differ. Texas Capital Bank may assign reasonably related additional duties to individual employees consistent with standard departmental policy. Texas Capital is an Equal Opportunity Employer.