Core Compliance Associate

HilltopSecurities is currently looking to hire a Core Compliance Associate. This role will report to the Compliance Manager and has a high level of autonomy, identifying, developing, administering, and supervising projects aimed at reducing regulatory and other risks. Primarily responsible for Core Compliance functions such as registrations and licensing, managing complaints, coordinating regulatory inquiries and exams, and assisting with special reviews and branch inspections. Position requires extensive communications with internal customers and regulatory agencies and is mandated with identifying, researching, analyzing, and resolving complex issues in a timely manner.

Responsibilities

• Liaison with FINRA, SEC and state regulators: Domestic and International in response to regulatory inquiries and prepare oral/written reports as requested.
• Partnering with others on the team to review and process registration and licensing requests.
• Collaborates with Compliance Management personnel with other duties as assigned which may include additional support regarding (MCO):
• Employee/associate trading activity and statement reviews
• Employee/Associate brokerage account disclosure and review processes
• Outside business activity, gift and other disclosure review processes
• Employee email communications review and administration
• Regulatory requests and examinations
• Investment advisor disclosure requirements
• Annual compliance meeting
• Annual attestation and questionnaire application processes
• Build and maintain relationships with internal and external customers; proactively respond to ad-hoc requests; collaborate with internal customer groups to Describe actions and ensure questions and/or concerns are addressed.
• Identify, research, and resolve complex compliance issues that require extensive business and/or system knowledge; assume a lead role on projects designed to resolve compliance or compliance-related issues.
• Establishes objectives and developing processes and procedures to ensure adherence to all regulatory requirements.
• Research regulatory updates to identify linkages and trends and apply findings and/or appropriate compliance monitoring procedures and tests.
• Pro-actively identify opportunities for process improvements; present practical, well-thought-out solutions to management; and execute implementation of process improvement solutions.
• Identify, recommend, and work with other areas of the business to automate and streamline functions to improve operational efficiencies of compliance systems.
• Investigate compliances issues and irregularities, executing corrective action or providing resolution recommendations to management.
• Manage and submits annual and quarterly regulatory filings.
• Lead annual CEO Certification process and coordinate tasks related to review and update of written supervisory policies.
• Out-of-town travel required, estimated at 10-15 percent for this position.
  
  

Qualifications

• Bachelor’s degree in business related field and three to seven years financial services industry experience. Preferably with a broker dealer.
• Must be able to obtain SIE and Series 7 exams: MCO experience a plus
• Knowledge of regulatory licensing requirements and systems (FINRA Gateway, NFA Online Registration System) a plus
• Ability to distill complex issues into clear communication, in both an oral and written format, comprehend complex functions and procedures and disseminate that information in a clear and precise manner to others.
• Excellent computer skills with an emphasis in Microsoft Office Word, Excel, PowerPoint, Outlook, and Access are required; knowledge of SQL preferred.
• Ability to work independently as well as collaboratively within a team environment while maintaining a strong customer service orientation.
  
  
  

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.