Investment Banking Risk & Controls Testing 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.

Overview

At Texas Capital Bank (TCB), we are driven by a single-minded and unwavering mission: to serve business and the individuals who run them. We use a consultative approach and innovative technologies to develop new ideas that give the bank and our clients a competitive advantage. We partner with our customers to push the boundaries of what's possible-together.

Headquartered in Dallas, Texas Capital Bank has offices in Austin, Fort Worth, Houston, Richardson, Plano and San Antonio, and we serve clients in a variety of industries from coast-to-coast.

Responsibilities

• Lead planning, development, and execution of appropriate documentation to support control testing activities

• Review and challenge individual Risk and Control Self Assessments (RCSAs) but business units

• Ability to learn and understand a variety of processes and regulations as they pertain to internal controls and regulatory requirements

• Identify potential risks and/or control gaps, control enhancement opportunities, in current processes, by utilizing available information such as business overviews, process maps, procedures, and reviewing/testing controls

• Ensure that key risk and controls are identified and assess control designs (walkthrough)

• Develop meaningful test steps (scripts) and perform testing to validate and determine whether controls are operating effectively

• Communicate test results, and next steps concisely and effectively across the organization

• Provide recommendation and work as a trusted partner with line of business to propose an appropriate remedial action plans to enhance existing processes

• Ensure with documentation standards

• Support other risk management roles (e.g., enterprise risk, operational risk) and/or committees, policy, and governance framework

• Additional duties as assigned

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.

Qualifications

• Bachelor's degree (preferred in finance, accounting or business) required, relevant graduate degree a plus

• 5-7+ years of relevant direct or related (industry regulator) work experience within the financial services industry in the risk management space, preferably within the context of: compliance risk, internal audit, or control testing

• Specific knowledge of or experience with Risk and Control Self-Assessments (RCSA)

• Knowledge of or experience with regulatory requirements pertaining to financial services, specifically to investment banking, required.

• Experience with and knowledge of the following regulations required (but not limited to): Securities Act, Securities and Exchange Act, Investment Company Act, Investment Advisors Act, FINRA rules and regulations, UDAAP, ECOA, FHA, TILA, and BSA/AML/OFAC

• Certification or experience in audit, risk, or compliance (with a financial institution) preferred

• Excellent analytical and problem-solving skills required

• Results-oriented working in a team-focused, collaborative environment

• Demonstrated ability to communicate effectively, both verbally and in writing, along with good presentation and report-writing skills

• Ability to work independently, understand and draw conclusions from research conducted and coordinate with the work of others

• Effectively respond to shifting priorities, demands, and timelines through analytical and problem-solving capabilities

• Organizational skills and attention to detail to handle diverse and concurrent assignments

• Microsoft application knowledge as well as aptitude for grasping and using various bank software applications (i.e., Excel skills including pivot tables, v-lookups, etc.)

Exact title will be determined and will commensurate based on experience and skill sets. Although travel may be required, the position is work-from-office.

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.