Compliance Officer

Hilltop Holdings • Dallas, TX

8d • Onsite

About The Position

HilltopSecurities is looking to hire a Compliance Officer. 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.).

Requirements

• Ensuring that Hilltop Securities Inc. has effective policies and procedures in place.
• Enforcing policies as set forth by industry regulators.
• Holding compliance responsibility for an affiliated broker/dealer (Hilltop Securities Independent Network Inc.).

Responsibilities

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

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: No Education Listed