Compliance Officer: Audits, Advisory & Regulatory Oversight
Job in
Dallas, Dallas County, Texas, 75215, USA
Listed on 2026-08-03
Listing for:
Hilltop Securities Inc.
Full Time
position Listed on 2026-08-03
Job specializations:
-
Government
Job Description & How to Apply Below
Hilltop Securities is seeking a Compliance Officer to oversee policy enforcement and on-site audits for its Hilltop Securities Independent Network Inc. and affiliated units.
The role focuses on surveillance, employee trade reviews, advertising compliance, and regulatory requests. You will travel 30–40% to branch and home office locations; provide training, participate in annual CEO Certification, and help update supervisory policies.
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