• Risk Analyst

    Job Locations US-TX-Dallas
    Req #
    2018-7265
    Type
    Full-Time
    Category
    Clearing Services
    Location Name
    (HTS) Dallas, TX - Renaissance Tower
    Company Name
    HILLTOP SECURITIES INC.
  • Job Summary

    HilltopSecurities seeks a qualified and enthusiastic person to fill the multidimensional position of Risk Analyst to begin work as soon as possible with the clearing services group in the downtown Dallas office. This entry level position involves a number of different responsibilities and will require working closely with the Director, Correspondent Risk in mitigating risk introduced to the firm by Correspondents as well as ensure Compliance and Regulatory responsibilities are being met.

    Essential Functions

    • Monitor and assess the risk of correspondent firms through various tools including queries, reports, backoffice system, quarterly FOCUS Reports, ACT Risk Management, Nasdaq TradeGuard, DTCC Risk Monitoring Tool as well as other tools
    • Respond to Correspondent requests of data related to regulatory inquiries
    • Coordinate with Correspondent, Relationship Manager, Conversion and Operational Teams to develop a conversion plan and monitor the overall progress of the conversion
    • Coordinate the deconversion process of Correspondents
    • Assist with the 4311 Report Process
    • Assist with the annual AML and Cybersecurity Certification Process
    • Develop an understanding of Correspondent history, relationship and issues in order to facilitate in the overall risk management of the Correspondents
    • Assist with the due diligence process of prospective Correspondents
    • Interface with Management, Relationship Management, Compliance and Operations Teams to facilitate the ongoing review of existing business
    • Identify and escalate potential risks to the firm through daily work
    • Participate in special projects relating to regulatory initiatives and changes or others special projects as assigned
    • Assist with the creation of Correspondent report cards
    • Taking initiative, taking ownership, and following through are highly valued characteristics

    Job Requirements

    • Bachelor’s degree in related field
    • 2-5 years experience in the securities industry or convincingly related field is required
    • Series 7 and 66 preferred. If the new hire is not already licensed, the position will require that Series 7 and 66 be obtained within the first 180 days.
    • Strong computer skills and a high degree of proficiency with Excel are required
    • Must be detail-oriented with good organizational skills
    • Strong verbal and written communication skills
    • Strong facilitation skills
    • Strong quantitative and analytical skills
    • Effective project management skills
    • Effective time management skills, with the ability to manage multiple projects simultaneously
    • Must be a self-starter with the ability to follow a project through to its conclusion. 

    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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