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Compliance Officer at Hilltop Holdings
Dallas, Texas, United States -
Full Time

Start Date

Immediate

Expiry Date

29 Jun, 26

Salary

0.0

Posted On

31 Mar, 26

Experience

2 year(s) or above

Remote Job

Yes

Telecommute

Yes

Sponsor Visa

No

Skills

Compliance Surveillance, On-site Compliance Audits, Employee Trade Reviews, Advertising, Marketing, Annual Compliance Meetings, Customer Complaints, Electronic Communications, Regulatory Requests, Regulatory Examinations, SIE, Series 7, Communication Skills, Microsoft Office Word, Microsoft Office Excel, Microsoft Office PowerPoint

Industry

Financial Services

Description
The Compliance Department is responsible for ensuring that Hilltop Securities Inc. has effective policies and procedures in place and enforcing those policies as set forth by the industry regulators. The department also holds compliance responsibility for an affiliated broker/dealer (Hilltop Securities Independent Network Inc.). The Compliance Officer responsibilities may include providing compliance surveillance for, and conduct on-site compliance audits of, branch locations and home office business units. In addition, this position may support employee trade reviews, advertising and marketing, annual compliance meetings, customer complaints and electronic communications, regulatory requests and 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.
Responsibilities
The Compliance Officer ensures the firm has effective policies and procedures in place, enforcing regulations set by industry regulators, which includes conducting compliance surveillance and on-site audits of business units. This role also supports various compliance functions such as employee trade reviews, advertising oversight, handling customer complaints, and managing regulatory requests and examinations.