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Regulatory Compliance Specialist

On-Site Compliance Auditor & Advisor

Job in Dallas, Dallas County, Texas, 75215, USA
Listing for: Hilltop Holdings
Full Time position
Listed on 2026-06-26
Job specializations:
  • Finance & Banking
    Regulatory Compliance Specialist
Job Description & How to Apply Below
A financial services firm in Dallas is looking for a Compliance Officer to conduct compliance inspections, educate associates on regulatory matters, and assist with investment advisory compliance. Candidates should hold a bachelor's degree or have two years of relevant experience and must obtain SIE and Series 7 certifications within a year after hiring. The role requires strong communication skills and knowledge of compliance surveillance.

This is a full-time on-site position with travel estimated at 30-40%.
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