Compliance Officer

Hilltop Holdings • Dallas, TX

2d

About The Position

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 Officer responsibilities may include providing
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, regulatory requests and
examinations and other departmental projects as assigned by management staff.

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, and PrimeLending, 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.

Responsibilities

• providing compliance surveillance
• conduct on-site compliance audits of branch locations and home office business units
• support employee trade reviews
• support advertising and marketing
• support annual compliance meetings
• support customer complaints and electronic communications
• support regulatory requests and examinations
• other departmental projects as assigned by management staff

What This Job Offers

• Career Level: Entry Level
• Education Level: No Education Listed