Hilltop Securities Inc. · 2 hours ago
Compliance Specialist
Dallas, TX
Full-time
Onsite
Entry, Mid Level
2+ years expHilltopSecurities is looking to hire a Compliance Specialist who will report to the Compliance Manager for Core Compliance. The specialist will provide day-to-day administration and support for the Compliance Department, develop an understanding of current processes, and create enhancements and efficiencies as needed.
BankingFinanceFinancial Services
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
Qualification
Required
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
Company
Hilltop Securities Inc.
HilltopSecurities helps advance the financial opportunities of communities, businesses, and individuals alike. But that’s only part of the story.
501-1000 employees
Funding
Current Stage
Late StageTotal Funding
$838.43M2019-12-20Debt Financing· $838.43M
Leadership Team
D
David Holleran
Chief Operating Officer
Recent News
2025-10-28
2025-10-24
Company data provided by crunchbase