Compliance Specialist
Houston, TX
Category: Information Technology
Reference ID: 10084399
Shortcut: http://addisongroup.gosnaphop.com/3SE0bu
Role: Compliance Specialist
Location: Houston, TX
Pay: $85,000 - $94,000 / year
Benefits: This role is eligible for health, vision, dental, 401k match, profit sharing and 12% bonus.
Key Responsibilities
Third-Party Due Diligence & Risk Assessment
- Lead risk-based third-party due diligence reviews for customers, vendors, brokers, agents, contractors, and other counterparties across the organization.
- Conduct enhanced due diligence (EDD) reviews for higher-risk counterparties, including international entities, state-owned enterprises, and entities with complex ownership structures.
- Analyze information related to ownership, control, beneficial owners, sanctions exposure, corruption risk, and reputational risk.
- Evaluate and document due diligence findings, risk ratings, and mitigation recommendations in accordance with internal policies and procedures.
- Review and assess incomplete or alternative documentation when standard information (e.g., tax forms, organizational charts) is unavailable, applying a defensible, risk-based approach.
Compliance Program Integration
- Support the organization’s Ethics & Compliance Program by ensuring third-party engagements align with internal codes of conduct, anti-bribery and anti-corruption (ABAC) principles, and regulatory requirements.
- Partner with Legal and Compliance leadership to identify appropriate risk mitigation measures, including contractual controls, certifications, audit rights, and ongoing monitoring.
- Assist with maintaining and enhancing third-party compliance policies, procedures, and due diligence workflows.
Stakeholder Engagement & Advisory Support
- Serve as a primary point of contact for business teams regarding third-party onboarding, vendor setup, and counterparty clearance questions.
- Provide clear, practical compliance guidance to internal stakeholders while enabling business operations.
- Communicate due diligence outcomes and requirements in a concise, business-focused manner.
- Participate in cross-functional discussions involving business, operational, and corporate support teams.
Oversight, Leadership & Continuous Improvement
- Act as a lead or mentor to junior compliance team members supporting third-party due diligence activities.
- Review work products prepared by other analysts to ensure accuracy, consistency, and compliance with program standards.
- Identify trends, gaps, or recurring issues in third-party risk and recommend program enhancements.
- Support audits, internal reviews, and regulatory inquiries related to third-party compliance.
- Assist with training and awareness efforts related to third-party risk and ethics expectations.
Required Qualifications
- Bachelor’s degree in Business, Finance, Legal Studies, Risk Management, or a related field.
- 5+ years of experience in compliance, third-party due diligence, counterparty risk, or regulatory risk management, preferably within a highly regulated industry.
- Demonstrated experience conducting risk-based due diligence on domestic and international entities.
- Strong understanding of:
- Anti-bribery and anti-corruption (e.g., FCPA concepts)
- Sanctions and trade compliance fundamentals
- Corporate ownership and beneficial ownership structures
- Experience working with due diligence platforms, screening tools, and ERP systems supporting vendor/customer onboarding.
- Excellent analytical, documentation, and judgment skills.
Preferred Qualifications
- Experience in a large, complex, or highly regulated organization.
- Familiarity with international trading counterparties and cross-border business relationships.
- Professional certifications such as CAMS, CCEP, CRCM, or equivalent.
- Experience supporting audits or responding to regulatory examinations.
Key Soft Skills
- Strong ethical judgment and attention to detail
- Ability to balance compliance rigor with business practicality
- Clear, confident written and verbal communication
- Ability to manage multiple priorities and deadlines
- Collaborative mindset with the confidence to challenge risk appropriately
| Addison Group is an Equal Opportunity Employer. Addison Group provides equal employment opportunities (EEO) to all employees and applicants for employment without regard to race, color, religion, gender, sexual orientation, national origin, age, disability, genetic information, marital status, amnesty, or status as a covered veteran in accordance with applicable federal, state and local laws. Addison Group complies with applicable state and local laws governing non-discrimination in employment in every location in which the company has facilities. Reasonable accommodation is available for qualified individuals with disabilities, upon request. |
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