Compliance, Business Intelligence Group, Associate Vice President, Dallas

Business Intelligence Group Overview

The Business Intelligence Group (BIG) is an advisory group in the Legal and Compliance Division that focuses on legal regulatory and reputational risk in relation to transactions across all divisions of the firm. BIG supports certain of the firms business lines and many of the firms committees in their efforts to make fully informed commercial and reputational risk management decisions. BIG is composed of individuals with a diverse set of backgrounds including lawyers researchers accountants risk managers etc many of whom have prior regulatory government audit and/or transactional due diligence experience.

The BIG Americas team has offices in New York and Dallas and primarily covers transactions originating from North South and Central America. Both offices work collaboratively across all transaction reviews and BIG operations

This role will be hired at either the Associate or Vice President level.

Role Overview

• Conduct legal regulatory and financial due diligence to assess reputational risk in a variety of transactions and business relationships
• Reputational issues analyzed by BIG include FCPA/anti-bribery compliance environmental/social responsibility concerns geo-political risk financial irregularities litigation risk controversial products/services human rights issues data privacy etc.
• Clients include revenue-generating departments across all divisions of the firm as well as areas within the control side
• Identify and evaluate risk-relevant information from a variety of sources including but not limited to: online media proprietary databases regulatory lists public filings litigation records research reports various internet sources
• Instruct and liaise with external investigative consultants evaluate reports and help drive the due diligence process to address risks identified coordinating with in-house lawyers external counsel compliance and business teams. Liaise with internal and external legal counsel on risks which merit further due diligence
• Review and analyze various independent due diligence reports on topics including regulatory compliance internal controls environmental impact etc.
• Analyze risk-relevant portions of financial statements and public filings
• Prepare summary and presentation materials for analysis by relevant business areas and firmwide committees
• Responsible for developing relevant industry/regional expertise and anticipating potential reputational risks
• Other special projects on an ad hoc basis

Skills and Experience:

• 5 or more years of legal/regulatory accounting compliance or other financial experience
• Risk assessment skills and experience preferably involving reputational legal regulatory environmental and general compliance topics.
• Strong technical proficiency experience in online research and databases preferred
• Excellent analytical and communication skills (both oral and written)
• General experience dealing with the investment banking industry and knowledge of various types of investing and lending transactions
• Additional experience in an ESG (Environmental Social and Governance) risk-related role is a plus
• Demonstrates a strong sense of intellectual curiosity and interest in current events
• Team player with inherent commercial judgment
• Ability to work effectively in a fast-paced and at times high pressure environment
• Strong sense of discretion with respect to highly confidential information
• CPA CFAJD/attorney licenseCFE designations are a plus but not required
• Preferred but NOT required: additional language skills