Hiring: Compliance Officer Company: Hilltop Securities Inc. Location: Dallas, TX Job Posted Time: 2026-09-11 12:59:45 Employment Type: On-site Target Skills & Keywords : Capital Markets, Fixed Income, Microsoft Excel, Microsoft Office, Microsoft PowerPoint, Series 24, Series 7 About the job Experience: •3-7 years of 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. •7 years of 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. Required Skills: •Provide compliance support for Capital Markets, Public Finance and Commodities business lines. •Manage and assist responses to regulatory inquiries, examinations, audits and information requests for assigned business units •Prepare and conduct on-site compliance inspections of branch and home office locations and communicate the results of those inspections in a professional and unbiased manner. •Partner cross-functionally with compliance and business lines to develop, maintain, review, and enhance Firm’s Written Supervisory Procedures (WSP’s), policies and controls. •Assist Compliance Management personnel with other duties and projects as assigned. •Conduct risk-based compliance reviews, supervisory testing and annual Certification for Capital Markets Public Finance, and Commodities to assist with the Firm’s supervisory responsibilities. •Conduct review and approval of institutional communications, marketing and sales literature to ensure compliance with applicable regulatory and firm requirements. •Detect and resolve issues which may present a failure to comply with rules or regulations. Qualifications: •Bachelor’s degree, preferably in business. •FINRA Series 7 is required. Series 24 and 53 licenses preferred. •Solid functional working knowledge of FINRA, SEC, MSRB, CFTC, and NFA regulations applicable to Public Finance and Capital Markets activities. •Knowledge of compliance and supervision surveillance issues. •Knowledge of institutional business is preferred. •Effective communication skills, both oral and written. •Demonstrated capacity 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. •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. Interested candidates, please apply directly through the job posting on company's career page or try via AI auto apply on this platform. Don't miss this opportunity to join a forward-thinking team!