Compliance Officer

About the role

The Compliance Department ensures effective policies and procedures for Hilltop Securities Inc., and for its affiliated broker/dealer, Hilltop Securities Independent Network Inc. The Compliance Officer oversees compliance surveillance and on-site audits of branch locations and home office units, supports employee reviews, and handles various regulatory matters.

Responsibilities

• Prepare and conduct on-site compliance inspections of branch and home office locations and report findings professionally and impartially.
• Detect and resolve issues indicating non-compliance with rules and regulations.
• Aid in educating firm associates regarding regulatory issues.
• Aid in the annual CEO Certification process.
• Support investment advisory compliance, including assisting with annual Form ADV Part 2A/2B filings.
• Assist with the review and updating of written supervisory policies.
• Perform other duties as assigned by management.

Qualifications

• Bachelor’s degree in business, or equivalent of two years financial service industry experience.
• Successful completion of the SIE and Series 7 within one year of hire.
• Knowledge of compliance and supervision surveillance issues.
• Effective communication skills, both oral and written.
• Ability to understand complex functions and procedures and convey them clearly and professionally.
• Moderate computer skills with proficiency in Microsoft Office (Word, Excel, PowerPoint, Outlook), and knowledge of SQL preferred.

Pay

Compensation is commensurate with experience.

Schedule

Out-of-town travel is estimated at 30-40%.