ERM Risk and Compliance Sr Analyst

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. For more information about joining our team, please visit us at www.texascapitalbank.com. 

Brief Overview of Position

As part of the Enterprise Risk Management (ERM) team assist the Head of Risk Programs and ERM Risk & Compliance Manager with the management and facilitation of the Risk Oversight Steering Team (ROST) process and Products and Services Lifecycle. ROST is comprised of stakeholders from each risk category that are responsible for identifying and assessing the risks with proposed initiatives and projects with specific focus on products and services. Interact with co-workers to monitor and report on the effectiveness of risk management activities across the company.

Responsibilities

• Coordinate with the ERM Risk & Compliance Manager on ROST reviews by intake submissions from project teams and recommend a risk assessment approach as part of the Go to Market (GTM) and Products & Services Lifecyle process.
• Coordinate completion of the risk assessment for initiatives by gathering and reviewing feedback from all impacted risk categories including Accounting and Legal to deliver to project team.
• Maintain tracking and provide regular reporting on the status of various initiatives through the ROST process.
• Prepare and distribute reporting on the status of initiatives going through the ROST process for internal management reporting and materials for the Executive Risk Committee and Risk Committee of the Board of Directors.
• Facilitate development and implementation of playbook for risk assessment of initiatives supporting Texas Capital Securities.
• Assist LOB/Project managers, Enterprise Finance and Technology with addressing risk concerns and governance routines including preparation for executive management forums
• Participate as needed in ongoing project and/or lifecycle forums with Finance and Technology.
• Assist in developing process flows and procedures to support management routines including use of Archer
• Perform other duties or projects assigned to support management of enterprise risk activities.

Qualifications

• Minimum of 5 years of experience of products and services offered in the financial industry
• Bachelor’s degree in Business-related field or equivalent combination of education, training and experience; relevant graduate degree a plus.
• Knowledge of regulatory requirements including risk assessments of complicated banking products, risk management frameworks, financial reporting, corporate governance, process improvement, project management, and/or regulatory requirements preferred.
• Experience with broker dealer including requirements of U.S. Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA) and Municipal Securities Rulemaking Board a plus.
• Experience in project management or similar background; prefer experience in the financial services industry preferably with Texas Capital or at large or regional banks.
• Strong interpersonal skills with ability to establish positive working relationships throughout the organization across all lines of business and functional teams.
• Demonstrated ability in communicating effectively, both verbally and written.
• Ability to work independently and collaborate with others to meet project deadlines.
• Strong organizational skills and detail-oriented to handle diverse and concurrent assignments.
• Certification in audit, risk, project management or compliance a plus.
• Experience with Archer or similar enterprise risk management applications is preferred.
• Strong Microsoft application knowledge (Excel, Word, PowerPoint, and Outlook) and aptitude for grasping and using various software applications.
• Experience with Archer or similar enterprise risk management applications is preferred.

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.