Compliance Officer
HilltopSecurities is currently hiring a Compliance Officer in Dallas, Texas or St.
Paul, Minnesota.
The Compliance Department is responsible for detecting, preventing, and mitigating compliance, regulatory and reputational risk.
The department monitors rules and regulations, assesses risk, and implements policies, procedures, and controls to comply with regulatory changes and updates.
Compliance conducts Firm training, responds to regulatory inquiries, examinations, and audits, in addition to on-going monitoring for breaches in policy through independent testing and audits.
This is an individual contributor position, providing integral day-to-day administration and support for wealth management, fixed income, public finance, equity trading, options, and the Compliance Department.
The Compliance Officer responsibilities may include providing compliance surveillance, conducting on-site compliance inspections of branch locations and home office business units.
This position may provide support for the supervisory reviews of advertising, marketing and electronic communications, annual compliance training regulatory requests, 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.
Bachelor s degree, preferably in business.
3
years experience in a Compliance and/or supervision role with a broker-dealer or investment adviser.
FINRA Series 7, required.
Series 24 licenses preferred.
Knowledge of compliance and supervision surveillance issues.
Knowledge of wealth management, fixed income, public finance, equity trading, regulatory reporting, commodities, and/or options is preferred.
Effective communication skills, both oral and written.
Ability to comprehend complex functions and procedures and disseminate that information in a clear and professional manner to others.
Moderate computer skills with an emphasis on Microsoft Office Word, Excel, PowerPoint, and Outlook.
The above statements are intended to describe the general nature and level of work being performed by individuals in, or assigned to, the above position and are not intended to be construed as an exhaustive list of all responsibilities, duties and skills required, and may be changed at the discretion of the Company.
Provide compliance support for wealth management, fixed income, public finance, equity trading, options, or commodities business lines.
Manage and assist responses to regulatory inquiries for assigned business unitsPrepare and conduct on-site compliance inspections of branch and home office locations and communicate the results of those inspections in a professional and unbiased manner.
Collaborate with compliance and business lines to review, update Firms written supervisory policies and procedures.
Assist Compliance Management personnel with other duties and projects as assigned.
Conduct compliance reviews and targeted reviews to assist with the Firm s supervisory responsibilities and various required certifications and reports.
Detect and resolve issues which may present a failure to comply with rules or regulations.
Full-TimePosting Date:
2024-03-13.
Estimated Salary: $20 to $28 per hour based on qualifications.
Paul, Minnesota.
The Compliance Department is responsible for detecting, preventing, and mitigating compliance, regulatory and reputational risk.
The department monitors rules and regulations, assesses risk, and implements policies, procedures, and controls to comply with regulatory changes and updates.
Compliance conducts Firm training, responds to regulatory inquiries, examinations, and audits, in addition to on-going monitoring for breaches in policy through independent testing and audits.
This is an individual contributor position, providing integral day-to-day administration and support for wealth management, fixed income, public finance, equity trading, options, and the Compliance Department.
The Compliance Officer responsibilities may include providing compliance surveillance, conducting on-site compliance inspections of branch locations and home office business units.
This position may provide support for the supervisory reviews of advertising, marketing and electronic communications, annual compliance training regulatory requests, 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.
Bachelor s degree, preferably in business.
3
years experience in a Compliance and/or supervision role with a broker-dealer or investment adviser.
FINRA Series 7, required.
Series 24 licenses preferred.
Knowledge of compliance and supervision surveillance issues.
Knowledge of wealth management, fixed income, public finance, equity trading, regulatory reporting, commodities, and/or options is preferred.
Effective communication skills, both oral and written.
Ability to comprehend complex functions and procedures and disseminate that information in a clear and professional manner to others.
Moderate computer skills with an emphasis on Microsoft Office Word, Excel, PowerPoint, and Outlook.
The above statements are intended to describe the general nature and level of work being performed by individuals in, or assigned to, the above position and are not intended to be construed as an exhaustive list of all responsibilities, duties and skills required, and may be changed at the discretion of the Company.
Provide compliance support for wealth management, fixed income, public finance, equity trading, options, or commodities business lines.
Manage and assist responses to regulatory inquiries for assigned business unitsPrepare and conduct on-site compliance inspections of branch and home office locations and communicate the results of those inspections in a professional and unbiased manner.
Collaborate with compliance and business lines to review, update Firms written supervisory policies and procedures.
Assist Compliance Management personnel with other duties and projects as assigned.
Conduct compliance reviews and targeted reviews to assist with the Firm s supervisory responsibilities and various required certifications and reports.
Detect and resolve issues which may present a failure to comply with rules or regulations.
Full-TimePosting Date:
2024-03-13.
Estimated Salary: $20 to $28 per hour based on qualifications.
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