Compliance Officer

HilltopSecurities is looking to hire a Compliance Officer who will support both broker-dealer and registered investment adviser compliance functions. The Compliance Department is responsible for ensuring that Hilltop Securities Inc. has effective policies and procedures in place and enforcing those policies as set forth by the industry regulators. The department also holds compliance responsibility for an affiliated broker/dealer (Hilltop Securities Independent Network Inc.). The Compliance Officer responsibilities may include providing investment advisory support, compliance surveillance for, and conduct on-site compliance audits of, branch locations and home office business units. In addition, this position may support advertising and marketing, customer complaints, and regulatory requests and examinations and other departmental projects as assigned by management staff.

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.