Compliance Officer

The Compliance Officer is responsible for ensuring Hilltop Securities Inc. has effective policies and procedures in place and enforcing those policies as set forth by industry regulators. The Compliance Officer may also support various departmental projects as assigned by management staff.

Requirements

• Prepare and conduct on-site compliance inspections of branch and home office locations
• 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
• Provide assistance with tasks related to the review and updating of written supervisory policies
• Assist Compliance Management personnel with other duties as assigned

Benefits

• Health insurance
• 401k matching
• Paid time off
• Professional development opportunities