Compliance Officer

Job 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. 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. At HilltopSecurities, we believe in building noble and collaborative relationships that enrich the...