Compliance Specialist - Dallas, TX
3 hours ago
Job description
HilltopSecurities is looking to hire a Compliance Specialist. The Compliance Specialist will report to the Compliance Manager for Core Compliance. This is an individual contributor position, providing integral day-to-day administration and support for the team and operations within the Compliance Department. The specialist will gain familiarity with the compliance department's framework and serve as an administrator and gatekeeper for required employee disclosure, databases, books, and records. The specialist will develop an understanding of current processes and create enhancements and efficiencies as needed. The specialist will become a subject matter expert in their assigned responsibilities and be able to respond to employee inquiries and aid as needed.
Responsibilities
- Supports the compliance team in drafting responses to regulatory inquiries including, procuring required documentation, tracking, management of electronic information and record retention.
- Assist in administration of /MCO application utilized for employee disclosures (ex. employees outside securities accounts) and outside business activities) employee account statements and annual required attestations.
- Process requests for employee and registered representative engagement in outside business affiliations.
- Develop and preserve business line regulatory organizational charts.
- Direct and maintain Firm's advertising and sales literature contents in accordance with record retention requirements.
- Correspond with regulators, business units and Compliance management staff in areas relating to arrest records, disciplinary events, and waiver requests.
- Coordinate study materials, classes and assist in scheduling qualification exams.
- Pay periodic fees and assessments on behalf of the firm.
- Prepare for on-site compliance inspections of branch and home office locations.
- May assist with inspections locally and at off-site locations on occasion and communicate the results of those inspections in a professional and unbiased manner – requires limited travel.
- Aid in Compliance training efforts and on-going enhancements of written supervisory procedures.
- Drive process improvement opportunities across the Department and across functions.
- Lead or provide support on special projects and ad-hoc activities.
Qualifications
- Degree preferred or 2+ years applicable experience, preferably in financial services support.
- Experience managing and tracking projects or organizational objectives.
- Experience reviewing, implementing, and/or drafting policies and procedures.
- Extremely detail oriented with excellent critical thinking skills
- Strong interpersonal and written communication skills including an ability to communicate within all levels of the organization.
- Strong computer skills with an emphasis on Excel, Word, Outlook, Visio knowledge a plus
- Self-starter with an ability to manage multiple projects with minimal direction or supervision.
- Excellent written and verbal communication skills.
About Us
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.
Similar jobs
HilltopSecurities is looking to hire a Compliance Specialist. · ...
2 weeks ago
HilltopSecurities is seeking a Compliance Specialist to support the compliance team with day-to-day administration and provide integral support for the team and operations within the Compliance Department. · Supports the compliance team in drafting responses to regulatory inquiri ...
6 days ago
+HilltopSecurities is looking to hire a Compliance Specialist. · ...
3 weeks ago
+This is an individual contributor position providing day-to-day administration and support for the team and operations within the Compliance Department. · +Gaining familiarity with the compliance department's framework as an administrator and gatekeeper for required employee dis ...
3 weeks ago
Summary · The Compliance Specialist position is responsible for assisting with the administration of the compliance program for Allworth Financial, an SEC Registered Investment Adviser, and AW Securities, a FINRA registered broker/dealer. · duties And Responsibilities · Assist in ...
3 hours ago
HilltopSecurities is looking for a Compliance Specialist. · ...
2 weeks ago
Allworth Financial ) is an independent investment financial advisory firm that specializes in retirement planning, investment advising, and 401(k) management with a direct approach to financial planning. Allworth Financial delivers long- and short-term investment planning solutio ...
3 hours ago
HilltopSecurities is looking to hire a Compliance Specialist to provide integral day-to-day administration and support for the team and operations within the Compliance Department. · ...
3 weeks ago
Action Property Management is seeking a full-time Compliance Specialist to join our team at our luxury association, Travis Ranch , located in Dallas, Texas. · Conduct regular patrols of the community using a personal vehicle to identify and document potential violations of the as ...
1 month ago
Summary · The Compliance Specialist position is responsible for assisting with the administration of the compliance program for Allworth Financial, an SEC Registered Investment Adviser, and AW Securities, a FINRA registered broker/dealer. · duties And Responsibilities · Assist in ...
1 day ago
· Overview · Examine, verify, and document compliance with federal and state regulatory laws and adherence to internal policies and procedures. · Responsibilities · Stay abreast of changes to federal and state banking laws and regulations affecting the management, operations, an ...
1 day ago
Allworth Financial ) is an independent investment financial advisory firm that specializes in retirement planning, investment advising, and 401(k) management with a direct approach to financial planning. Allworth Financial delivers long- and short-term investment planning solutio ...
1 day ago
+Examine and verify compliance with federal and state regulatory laws. · +Stay abreast of changes to federal and state banking laws. · Conduct compliance audits to ensure adherence to laws. · ...
1 month ago
This Compliance Specialist role involves examining and verifying compliance with federal and state regulatory laws and internal policies. The job requires staying up-to-date with changes to banking laws and regulations, conducting audits, developing audit plans, preparing reports ...
1 month ago
We're hiring a Landfill Compliance Specialist to play key role in ensuring safe compliant and environmentally responsible landfill operations across multiple active sites. · This is hands-on field-based role ideal for someone who enjoys travel problem-solving and working at inter ...
1 month ago
Description · Arcadis is the world's leading company delivering sustainable design, engineering, and consultancy solutions for natural and built assets. · We are more than 36,000 people, in over 70 countries, dedicated to improving quality of life. Everyone has an important role ...
1 day ago
As a Legal Compliance Specialist you will play a key role and support attorneys with regulatory and compliance due diligence for business clients across a range of commercial matters. · Support attorneys in conducting KYC and AML reviews for business and transactional matters. · ...
1 month ago
Arcadis is seeking an early career Environmental Health and Safety (EHS) Compliance Specialist in Dallas,TX. · Support compliance projects for various clients. · Conduct inspections,safety observations,risk assessments,and mitigation actions. · ...
4 days ago
Be the Best Onboarding Compliance Specialist You Can Be If you meet these qualifications, we want to meet you One year of college, including courses in human resources management are At least five years administrative or human resources Effective interpersonal skills, communicati ...
1 month ago
We are currently seeking a Security and Compliance Specialist to support the firm's information security, compliance, and risk‑management initiatives within a collaborative client‑focused environment. · ...
2 weeks ago