Compliance Officer

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 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.