What are the responsibilities and job description for the Compliance Officer position at Hilltop Securities Inc.?
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
About Us
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
- 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.
About Us
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.