- Responsible for defining, evaluating, and managing policy and procedure to support the product areas within the Governmental Services business line. Partners with compliance to ensure adequate supervisory processes are in place to comply with regulations.
- Interacts on a regular basis with the compliance department. Coordinates with Governmental Services senior management concerning regulatory changes affecting the business line. Implements proposed supervisory and compliance initiatives using business expertise and knowledge.
- Responsible for Governmental Services delegated supervisory reviews including, but not limited to trade compliance, registration, licensing, e-mail and correspondence, employee disclosures, gifts, and entertainment, in addition to required potential conflict of interest disclosures relating to Governmental or Public Finance client.
- Develop and facilitate training, coaching and guidance on policies and procedures in order to promote risk awareness applicable to Governmental Services business line and personnel.
- Coordinates with the compliance department for the annual HSAM ADV update, interim updates as needed, annual Code of Ethics attestation, in addition to review and completion of the HSAM Annual Report of Compliance with SEC Rule
- Assists compliance with regulatory examinations, audits or inquiries with information requests related to Governmental Services and HSAM.
- Manages internal examinations and audits in relation to Governmental Services and HSAM. Participate in on-sight exams as required.
- Attend industry conferences, roundtables, etc. to stay knowledgeable regarding the current regulatory environment and industry best practices.
- Bachelor's Degree required in related field or equivalent education
- (Industry experience may be considered)
- Ten years of experience in the Financial Services Industry (Preferably in compliance or a supervisory capacity)
- Registered Investment Advisory experience required.
- Active FINRA Series 50, 52, 53, 54, 66 (or 63 and 65) or be able to obtain within 90 days of post-hire.
- Optional FINRA licenses may include Series 14, 24, 79, & 99
- Ability to be an initiative-taker and work independently.
- Strong decision-making ability and attention to detail.
- Outstanding time management and organizational skills. Ability to operated in a fast-paced environment and must have the ability to make decisions based on sound business judgement with the information at hand.
- Must exhibit strong analytical written and verbal communication skills for problem solving. Ability to elicit information, actively listen, participate at a high level with excellent quality and contribute to a high-performance team.
- Knowledge of Bloomberg
- Demonstrated proficiency in Microsoft Office applications (excel, word, PowerPoint).
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SVP - Head of Supervision, Governmental Services - Dallas, United States - Hilltop Securities Inc.
Description
HilltopSecurities is currently looking to hire an SVP - Head of Supervision, Governmental Services to work in Dallas, Texas. This role is responsible for a wide variety of supervisory, compliance and risk functions related to the Governmental Services function. The Head of Supervision, Governmental Services has accountability for maintaining a consistent control environment through adherence to all applicable Federal, State, and Local Laws, business ethics, Hilltop Securities ("HTS") and Hilltop Securities Asset Management ("HSAM") policies and procedures, and other regulations. The Head of Supervision, Governmental will be primarily responsible for the enhancement and maintenance of the Governmental Services supervisory program for Investment Advisory and Broker/Dealer activities.
Essential Functions
Job Qualifications
Required Knowledge, Skills and Abilities:
