Compliance Officer: Audits, Advisory & Regulatory Oversight

Hilltop Securities Inc.; Dallas (TX); On-site; USD 90,000 - 140,000; Full time

Job summary

HilltopSecurities is seeking a Compliance Officer to oversee policy enforcement and on-site audits for its HilltopSecurities Independent Network Inc. and affiliated units.

The role focuses on surveillance, employee trade reviews, advertising compliance, and regulatory requests. You will travel 30–40% to branch and home office locations; provide training, participate in annual CEO Certification, and help update supervisory policies.

Qualifications

• Bachelor's degree in business or equivalent experience.
• SIE and Series 7 required or to be obtained within 1 year of hire.
• Knowledge of compliance and supervision surveillance issues.
• Effective oral and written communication skills.
• Proficient with MS Office; SQL knowledge preferred.

Responsibilities

• Prepare and conduct on-site inspections of branch and home office locations; communicate results professionally.
• Detect and resolve issues that may indicate non-compliance with rules or regulations.
• Educate Firm associates on regulatory issues.
• Assist with annual CEO Certification process.
• Assist with investment advisory compliance, including Form ADV support.
• Review and update written supervisory policies.
• Assist Compliance Management with other duties as assigned.
• Travel to locations 30-40%.

Skills

Compliance knowledge

Communication skills

Regulatory understanding

Education

Bachelor's degree in Business or related field

SIE and Series 7 certifications

Tools

Microsoft Office

SQL

Job description

HilltopSecurities is seeking a Compliance Officer to oversee policy enforcement and on-site audits for its HilltopSecurities Independent Network Inc. and affiliated units.

The role focuses on surveillance, employee trade reviews, advertising compliance, and regulatory requests. You will travel 30–40% to branch and home office locations; provide training, participate in annual CEO Certification, and help update supervisory policies.