Job description

HilltopSecurities is looking to hire a Compliance Officer. 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, monitoring, conduct on-site compliance audits of branch locations and home office business units. In addition, this position may support 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 and regulatory inquiries as needed. • Provide compliance support for Capital Markets, Public Finance and Commodities business lines. • Manage and assist responses to regulatory inquiries, examinations, audits and information requests 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 develop, maintain, review, and enhance Firm’s Written Supervisory Procedures (WSP’s), policies and controls. • Assist Compliance Management personnel with other duties and projects as assigned. • Conduct risk-based compliance reviews, supervisory testing and annual Certification for Capital Markets Public Finance, and Commodities to assist with the Firm’s supervisory responsibilities. • Conduct review and approval of institutional communications, marketing and sales literature to ensure compliance with applicable regulatory and firm requirements. • Detect and resolve issues which may present a failure to comply with rules or regulations. • Bachelor’s degree, preferably in business. • 3-7 years of broker-dealer compliance, supervision, regulatory, legal, audit, or related financial services experience, including direct experience supporting Public Finance, Municipal Securities, Capital Markets, or Fixed Income business lines. • FINRA Series 7 is required. Series 24 and 53 licenses preferred. • Working knowledge of FINRA, SEC, MSRB, CFTC, and NFA regulations applicable to Public Finance and Capital Markets activities. • Experience conducting compliance testing, surveillance, branch examinations, or regulatory reviews 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. HilltopSecurities is looking to hire a 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.

Requirements

Must-haves

Provide compliance support for Capital Markets, Public Finance and Commodities business lines.
Manage and assist responses to regulatory inquiries, examinations, audits and information requests 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 develop, maintain, review, and enhance Firm’s Written Supervisory Procedures (WSP’s), policies and controls.
Assist Compliance Management personnel with other duties and projects as assigned.
Conduct risk-based compliance reviews, supervisory testing and annual Certification for Capital Markets Public Finance, and Commodities to assist with the Firm’s supervisory responsibilities.
Conduct review and approval of institutional communications, marketing and sales literature to ensure compliance with applicable regulatory and firm requirements.
Detect and resolve issues which may present a failure to comply with rules or regulations.
Bachelor’s degree, preferably in business.
Working knowledge of FINRA, SEC, MSRB, CFTC, and NFA regulations applicable to Public Finance and Capital Markets activities.
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 and Outlook.

Nice-to-haves

FINRA Series 7 is required. Series 24 and 53 licenses preferred.
Experience conducting compliance testing, surveillance, branch examinations, or regulatory reviews preferred.
Knowledge of institutional business is preferred.

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Platform: oracle-cloud
Effort: medium

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