Compliance Officer

The Compliance Department at Hilltop Securities, Inc. is responsible for detecting, preventing, and mitigating compliance, regulatory and reputational risk for Hilltop Securities, Inc and Momentum Independent Network Inc., an affiliated Broker/Dealer. 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 Public Finance, Capital Markets and the Compliance Department.  The Compliance Officer responsibilities may include providing compliance surveillance, 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, and electronic communications.  In addition, regulatory requests, examinations, and other departmental projects as assigned by management staff. The Compliance Officer will be the subject matter expert in Public Finance and Capital Markets and respond to employee inquiries as needed.

• Provide compliance support for Capital Markets, Public Finance and Debt Capital Markets business lines.
• Manage and assist responses to regulatory inquiries for assigned business units
• 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.
• Collaborate with compliance and business lines to review, update Firms written supervisory policies and procedures. 
• Assist Compliance Management personnel with other duties and projects as assigned.
• Conduct compliance reviews and CEO Certification testing of Capital Markets Public Finance, and DCM to assist with the Firm’s supervisory responsibilities.
• Conduct review and approval of institutional communications.
• Review Firm/employee trading conflicts for municipal underwritings and private placements
• Detect and resolve issues which may present a failure to comply with rules or regulations.

• Bachelor’s degree, preferably in business.
• 5 years Compliance experience
• FINRA Series 7, 24 is required. Series 53 licenses preferred.
• Knowledge of compliance and supervision surveillance issues.
• Knowledge of institutional business is preferred.
• 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 and Outlook.

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 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.

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