Compliance Officer

HilltopSecurities is looking to hire a Compliance Officer. This is an individual contributor position, providing integral day-to-day administration and support for Public Finance, Capital Markets and the Compliance Department. The Compliance Officer responsibilities may include providing compliance surveillance, monitoring, conduct on-site compliance audits of branch locations and home office business units. In addition, this position may support advertising and marketing, annual compliance meetings, and electronic communications. In addition, regulatory requests, examinations, and other departmental projects as assigned by management staff. The Compliance Officer will be the subject matter expert in Public Finance and Capital Markets and respond to employee and regulatory inquiries as needed.