Compliance Officer

US-TX-Dallas
Req #
2017-6517
Type
Full-Time
Category
Compliance
(HTS) Dallas, TX - Renaissance Tower
Company Name
HILLTOP SECURITIES INC.

Job Summary

The Compliance Department is responsible for ensuring that Hilltop Securities Inc. has effective policies and procedures in place and enforcing those policies as set forth by the industry regulators. The department also holds compliance responsibility for an affiliated broker/dealer (Hilltop Securities Independent Network Inc.).

The Compliance Examiner will provide compliance surveillance for, and conduct on-site compliance audits of, branch locations and home office business units.  In addition, this position may support employee trade reviews, advertising and marketing, annual compliance meetings, customer complaints and electronic communications.

Essential Functions

  • Conduct compliance examination of branch and home office locations.
  • Effectively communicate examination results in a professional and non-confrontational manner.
  • Detect and assist with the resolution of issues which may present a failure to comply with rules or regulations.
  • Assist in the education of the Firm’s sales force with respect to regulatory issues.
  • Assist with tasks associated to the review, update and posting of written supervisory policies and procedures as well as development and delivery of the annual compliance hour program.
  • Assist in the annual CEO Certification Process.
  • Assist with the creation and maintenance of required books and records.
  • Assist the departmental management staff with other duties as assigned.
  • Travel for this position - locally and nationwide - is estimated at 30-40 percent.

Job Requirements

  • Registration as a General Securities Representative (FINRA Series 7 and 63 or 66) preferred. 
  • Minimum of 2 years experience at a financial services organization.
  • Strong knowledge of financial services industry and products & services.
  • Knowledge of Broker/Dealer regulatory issues.
  • Knowledge of financial services industry.
  • Knowledge of compliance and supervisory policies and procedures.
  • Aptitude for analysis, investigation & problem solving.
  • Demonstrated ability to cope with change and ability to manage multiple priorities.
  • Demonstrated ability to comprehend complex functions and procedures and disseminate that information in a clear and precise manner to others.
  • Demonstrated organization skills.
  • Self-motivated with the ability to achieve results in an independent environment, aptitude & comfort with technology, training & delivery skills.
  • Ability to work in a collaborative environment alongside other departments and personnel.
  • Moderate computer skills with an emphasis in Microsoft Office Word, Excel, PowerPoint, Outlook; knowledge of SQL preferred.

About the Company

At HilltopSecurities, we believe in building noble and collaborative relationships that enrich the financial future of individuals, businesses and communities. With an extensive portfolio of products, we deliver a broad range of investment banking and related financial services that help our clients achieve their definition of success. As a subsidiary of HilltopHoldings, which also encompasses PlainsCapital Bank, PrimeLending and National Lloyds corporation, we have the financial strength and stability that has withstood the test of time. Our nationwide presence in 400 locations across 44 states provides our associates with extensive opportunities to grow their careers in a diverse organization that truly values relationship capital above all else.

 

HilltopSecurities is an equal opportunity employer. Qualified applicants will be considered without regard to race, color, religion, sex, national origin, ancestry, age, pregnancy, physical/mental disability, veteran or military status, predisposing genetic characteristics, sexual orientation, marital status, domestic partner or civil union status, citizenship, or any other basis protected by applicable law.

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