HilltopSecurities is looking to hire a Compliance Officer who will support both broker-dealer and registered investment adviser compliance functions. 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 investment advisory support, compliance surveillance for, and conduct on-site compliance audits of, branch locations and home office business units. In addition, this position may support advertising and marketing, customer complaints, and regulatory requests and examinations and other departmental projects as assigned by management staff.
Responsibilities- Support the administration and enhancement of the firm's Registered Investment Adviser (RIA) compliance program.
- Assist with the preparation, maintenance, and annual updating of Form ADV Parts 1, 2A, and 2B.
- Support the annual compliance review required under Rule 206(4)-7 of the Investment Advisers Act.
- 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.
- Detect and resolve issues which may present a failure to comply with rules or regulations.
- Assist with the education of Firm associates with respect to regulatory issues.
- Assist with the annual CEO Certification process.
- Provide assistance with tasks related to the review and updating of written supervisory policies.
- Assist Compliance Management personnel with other duties as assigned.
- Out of town travel for this position is estimated at 25-30 percent.
- Bachelor’s degree, preferably in business, or equivalent 3-5 years of compliance experience within the broker-dealer and/or registered investment advisor.
- Series 7 required, or adequate experience working at an investment advisor
- Series 24, 65, 66 preferred
- Experience supporting Investment Adviser Representatives (IARs) and advisory programs.
- Knowledge of compliance and supervision surveillance issues.
- 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, Outlook; knowledge of SQL preferred.
The above statements are intended to describe the general nature and level of work being performed by individuals in, or assigned to, the above position and are not intended to be construed as an exhaustive list of all responsibilities, duties and skills required and may be changed at the discretion of the Company.
About UsAt 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.Skills Required
- Bachelor's degree or equivalent of two years financial services industry experience
- Successful completion of the SIE and Series 7 or obtain within one year of hire
- Knowledge of compliance and supervision surveillance issues
- Effective oral and written communication skills
- Ability to comprehend complex functions and disseminate information clearly
- Moderate computer skills emphasizing Microsoft Word, Excel, PowerPoint, Outlook
- Knowledge of SQL
- Willingness/ability to travel out of town approximately 30-40%
What We Do
Experience. Expertise. Extraordinary Results. PrimeLending, a PlainsCapital Company (NMLS: 13649), is a proven powerhouse in home lending, combining personal guidance and local expertise with fast service, more choices and the flexibility to meet homeowners’ unique needs. We’re a national home lender relentlessly focused on empowering our customers to boldly pursue their homeownership goals. Whether a borrower is looking to buy, refinance or renovate a home, the PrimeLending team can help them make smart home financing decisions and have a rewarding experience along the way. Along with our next level service, PrimeLending owns one of the most comprehensive suite of loan products in the industry, which includes renovation, refinancing, jumbo, FHA, VA, fixed-rate and adjustable-rate mortgage loans. We work alongside business partners, including real estate professionals and homebuilders, who trust us to get the job done on time and done right. Delivering on this promise for more than 30 years, we’re proud to consistently earn a 96% customer satisfaction rating and become our homeowners’ lender for life. Whether you are a homeowner or a business partner, we invite you to experience the PrimeLending difference today! Work at PrimeLending Ready to discover your best and unleash your unlimited potential? PrimeLending is always looking for doers, visionaries, entrepreneurs and leaders who welcome the challenge to find out how good they really are. If you’re a mortgage superstar primed to dominate your local market, contact us today or joinprimelending.com to learn how you can join our winning formula. For licensing information go to www.nmlsconsumeraccess.org https://www.primelending.com/legal-disclosures/licensing-disclosures Equal Housing Lender This site is not authorized by NY Dept of Fin Serv. No mortgage loan applications will be accepted through this site.
