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.
- Bachelor’s degree, preferably in business.
- 3-7 years o f 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.
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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.
