Compliance Specialist

HilltopSecurities is looking to hire a Compliance Specialist. The Compliance Specialist will report to the Compliance Manager for Core Compliance. This is an individual contributor position, providing integral day-to-day administration and support for the team and operations within the Compliance Department. The specialist will gain familiarity with the compliance department’s framework and serve as an administrator and gatekeeper for required employee disclosure, databases, books, and records. The specialist will develop an understanding of current processes and create enhancements and efficiencies as needed. The specialist will become a subject matter expert in their assigned responsibilities and be able to respond to employee inquiries and aid as needed.

Responsibilities

• Supports the compliance team in drafting responses to regulatory inquiries including, procuring required documentation, tracking, management of electronic information and record retention.
• Assist in administration of /MCO application utilized for employee disclosures (ex. employees outside securities accounts) and outside business activities) employee account statements and annual required attestations.
• Process requests for employee and registered representative engagement in outside business affiliations.
• Develop and preserve business line regulatory organizational charts.
• Direct and maintain Firm’s advertising and sales literature contents in accordance with record retention requirements.
• Correspond with regulators, business units and Compliance management staff in areas relating to arrest records, disciplinary events, and waiver requests.
• Coordinate study materials, classes and assist in scheduling qualification exams.
• Pay periodic fees and assessments on behalf of the firm.
• Prepare for on-site compliance inspections of branch and home office locations.
• May assist with inspections locally and at off-site locations on occasion and communicate the results of those inspections in a professional and unbiased manner – requires limited travel.
• Aid in Compliance training efforts and on-going enhancements of written supervisory procedures.
• Drive process improvement opportunities across the Department and across functions.
• Lead or provide support on special projects and ad-hoc activities.
  
  
  

Qualifications

• Degree preferred or 2 years applicable experience, preferably in financial services support.
• Experience managing and tracking projects or organizational objectives.
• Experience reviewing, implementing, and/or drafting policies and procedures.
• Extremely detail oriented with excellent critical thinking skills
• Strong interpersonal and written communication skills including an ability to communicate within all levels of the organization.
• Strong computer skills with an emphasis on Excel, Word, Outlook, Visio knowledge a plus
• Self-starter with an ability to manage multiple projects with minimal direction or supervision.
• Excellent written and verbal communication skills.
  
  
  

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.