What are the responsibilities and job description for the Public Finance Supervisory Specialist position at HilltopSecurities?
HilltopSecurities is currently looking to hire a Public Finance Supervisory Specialist in Dallas, Texas. The Public Finance Supervisory Specialist position will require working with employees including management in the Public Finance Department in various capacities from generating, reviewing and monitoring daily reports to handling special projects.
- BA/BS in business or related field with 5 years applicable securities and financial services support experience with a law firm, regulator, or broker/dealer engaged in municipal fixed income supervision, compliance or audit, or 5 years commensurate municipal regulatory work experience, or similar combination of education and experience.
- Applicants should have experience with FINRA and MSRB rules regarding pricing, trade-reporting, education, sales literature, etc. for municipal bonds and other securities.
- Ideal candidate can work in a fast-paced environment and clearly communicate (both verbal and written) with technical and non-technical audiences, trading desk and management to smoothly implement any processes improvements. Ability to work on multiple projects with minimum direction and supervision.
- Successful candidate will be a team player with the ability to work independently to identify areas of risk
- and research regulatory rules and provide an interpretation tailored to our business.
- Strong problem solving, organizational and analytical skills, excellent computer skills with an emphasis on Excel, Outlook, and Access.
- FINRA Series 50, 52, 53 and 54 required within 12 months.
- Maintain a comprehensive record keeping system for all trading and clearing activities in accordance with FINRA and MSRB best practices.
- Ensure Public Finance supervisory problems are identified and properly reported.
- Conduct systems testing associated with existing technology or new enhancements to ensure banking systems are regulatory compliant.
- Work with Public Finance supervision the Compliance Department evaluating guidance from regulatory bodies. Work with Public Finance management group to implement any process regulatory update changes.
- Conduct on-going surveillance of Public Finance business unit.
- Actively participate in regulatory inquiries and examinations.
- Maintain and keep current WSPs to ensure regulatory rules and firm policies remain adhered to.