Compliance Officer, Broker-Dealer Investment Banking

Texas Capital is built to help businesses and their leaders. Our depth of knowledge and expertise allows us to bring the best of the big firms at a scale that works for our clients, with highly experienced bankers who truly invest in people's success - today and tomorrow.

While we are rooted in core financial products, we are differentiated by our approach. Our bankers are seasoned financial experts who possess deep experience across a multitude of industries. Equally important, they bring commitment - investing the time and resources to understand our clients' immediate needs, identify market opportunities and meet long-term objectives. At Texas Capital, we do more than build business success.

We build long-lasting relationships.

Texas Capital provides a variety of benefits to colleagues, including health insurance coverage, wellness program, fertility and family building aids, life and disability insurance, retirement savings plans with a generous 401K match, paid leave programs, paid holidays, and paid time off (PTO).

Headquartered in Dallas with offices in Austin, Fort Worth, Houston, Richardson, Plano and San Antonio, Texas Capital was recently named Best Regional Bank in 2024 by Bankrate and was named to The Dallas Morning News' Dallas-Fort Worth metroplex Top Workplaces 2023 and Go Banking Rate 's 2023 list of Best Regional Banks. For more information about joining our team, please visit us at

Brief Overview of Position

Reporting to Chief Compliance Officer for TCBI Securities, Inc., the Compliance Officer serves as a senior strategic leader within the Investment Bank's compliance function. We are seeking a highly experienced compliance professional who will operate with broad authority and autonomy across all investment banking business divisions and risk categories.

The Compliance Officer acts as an independent, second line of defense (2

LOD) compliance partner and is responsible for designing, developing, delivering and maintaining the firm's overall compliance program. This includes the design and implementation of policies, procedures, monitoring controls, testing frameworks and remediation protocols across all business divisions and operational functions.

Success in this role requires strategic thinking, regulatory acumen, demonstrated leadership ability and the capacity to operate independently while collaborating effectively across the organization. This individual will be expected to represent the firm to regulators, make independent business decisions regarding compliance exceptions and escalations, and establish the firm's compliance culture and tone.

Responsibilities

* Shape the firm's overall compliance program architecture, aligned with enterprise risk appetite and regulatory expectations. Monitor and optimize control design, implementation and testing across all business units.

* Exercise independent authority to approve or reject compliance exceptions; determine escalation thresholds; initiate investigations; and enforce compliance policies consistently and fairly across all business lines and personnel levels, including senior management.

* Serve as primary relationship manager with SEC and FINRA examination teams. Lead the firm's response to regulatory inquiries, comment letters, and examination findings. Prepare and present exam readiness materials. Manage corrective action plans and oversight of remediation timelines.

* Research, interpret and implement SEC Rules 17a-3, 17a-4, 15c3-1 and 15c3-3) and FINRA Rules 4530 Supervisory Obligations; 3120 and 3130 Supervisory Control System; 3110 Supervision and 2210 Communications with the Public). Maintain current knowledge of rule changes and emerging regulatory expectations.

* Update and synchronize written supervisory procedures, compliance manual, code of conduct, operational process documents and exception management policies. Ensure policies reflect current regulations, firm practices and control testing results.

* Coordinate the compliance and risk components of new product and services review processes. Assess potential regulatory, reputational, operational and market risk. Determine required pre-launch controls, surveillance mechanisms and compliance approvals.

* Oversee surveillance for trading misconduct including market manipulation, fraud, layering, spoofing and wash sales. Ensure trade reporting accuracy. Review and challenge trading exception reports and escalations.

* Develop and oversee surveillance for foreign exchange, swaps, commodities and OTC derivatives transactions, including position limits, counter party risk acknowledgments and regulatory reporting. Ensure compliance with Dodd-Frank derivatives regulations and SRO requirements.

* Monitor equity research independence, timeliness of disclosures, pre-publication review, conflicts of interest disclosure and fair allocation policies.

* Certify effectiveness of controls. Remediate control deficiencies and track testing results.

* Direct investigations into potential compliance…