Job Description

Role: Junior Compliance Analyst

Location: Dallas

We are looking for a Junior Compliance Analyst to join our Client Lifecycle Management (CLM) team initially to support one of our clients on a particular project. You will be part of our CLM Business Line, located in Dallas & working on client site during the project within Investment Banking / Asset Management.

This is a great opportunity to join our fast-growing business within our CLM department working with some of the world’s leading financial institutions. The preferred candidate will be a recent graduate and have some relevant experience within financial services (can include through internships) supported by great attention to detail, organizational and communication skills, and an ability to work in high pressured environments and to tight deadlines. To learn more about our CLM department click here Client Lifecycle Management (deltacapita.com).

Responsibilities may include:

• Collaborating with marketing, legal, regulatory affairs, and other relevant departments to ensure alignment on compliance requirements.

• Staying updated on changes in regulations and industry standards related to marketing compliance.

• Conducting thorough reviews of marketing materials to identify and mitigate potential compliance risks.

• Providing guidance and training to marketing teams on compliance requirements and best practices.

• Monitoring and tracking regulatory developments related to marketing compliance.

• Participating in internal audits and assessments of marketing processes and controls.

• Developing and maintaining compliance checklists, templates, and guidelines for marketing materials.

• Serving as a subject matter expert on compliance-related inquiries and issues. • Proactively engaging with key stakeholders to advise on issue resolution, client reporting, capacity, and associated risks

• Identify opportunities for improvements to streamline the operational process and optimize the client journey.

• Liaising with internal stakeholders to facilitate ad-hoc projects

• Assisting in defining procedures, processes, standards, and best practices to ensure efficiency / continuous improvement of the service

Essential Skills & Experience:

• Recent graduate with relevant degree (Finance, Business, Law, or related field). Some experience in financial services (including internships).

• Critical eye for detail to ensure material being distributed is appropriate for the audience and to the relevant jurisdiction.

• Effective communication, both internally within the team when allocating workload, as well as with the relevant business teams to manage expectations.

• Ability to think independently, to navigate guidelines as given and make clear decisions when advising the business on how to ensure materials are compliant.

• Strong problem-solving skills to not only identify when risk appetite boundaries have been crossed but also be able to give advice on potential solutions to lower the risk.

How We Work : Delta Capita is an equal opportunity employer. We positively encourage applications from suitably qualified and eligible candidates regardless of age, color, disability, national origin, ancestry, race, religion, gender, sexual orientation, gender identity and/or expression, veteran status, genetic information, or any other status protected by applicable law. We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. If you require any reasonable adjustments through your interview process, please use the designated space within the application questionnaire.

Expectations regarding hybrid working: As we are a Service Provider and Consulting firm servicing clients, our policy for physically working from the office (which may be the client’s offices or our own offices depending on the client) aligns to what our client’s policies and expectations are and these vary. Most of our client’s now require a minimum of 3 days per week in the office, 2 days from home, and accordingly this is also the minimum expectation that Delta Capita require. We require candidates to be flexible to meet our client demands and that may require up to 5 days in the office. For this initial project, our client requires 5 days in the office (flexibility to work from home on ad-hoc days upon request and where there is a specific need).

Who We Are : Delta Capita Group (a member of the Prytek Group) is a global managed services, consulting and solutions provider with a unique combination of experience in Financial Services and technology innovation capability. Our mission is to reinvent the financial services value chain providing technology based mutualized services for financial institutions for non-differentiating services.

Our 3 offerings are:

• Managed Services

• Consulting

• Technology

To know more about Delta Capita and our culture click here:

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