- 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 units
- Prepare 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 Firms supervisory responsibilities and various required certifications and reports.
- Detect and resolve issues which may present a failure to comply with rules or regulations.
- Bachelors 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.
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Compliance Officer
1 week ago
Hilltop Holdings Dallas, United StatesHilltopSecurities 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, asse ...
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Compliance Officer
1 week ago
Hilltop Securities Inc. Dallas, United StatesHilltopSecurities is currently hiring a Compliance Officer in Dallas, Texas or St. Paul Minnesota. The Compliance Department at Hilltop Securities Inc. is responsible for detecting, preventing, and mitigating compliance, regulatory and reputational risk for Hilltop Securities Inc ...
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1 week ago
Hilltop Holdings Dallas, United StatesJob Description · 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 an ...
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Compliance Officer - Dallas, United States - Hilltop Securities Inc
Description
HilltopSecurities is currently hiring a Compliance Officer in Dallas, Texas or St. Paul Minnesota. The Compliance Department at Hilltop Securities Inc. is responsible for detecting, preventing, and mitigating compliance, regulatory and reputational risk for Hilltop Securities Inc. 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.
Responsibilities:
Qualifications:
Compliance Officer professionals in Dallas
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Wesley Wagner
Thought leader providing InfoSec and Data Privacy guidance and solutions in the private sector and s ...