Compliance Officer

HilltopSecurities is looking to hire a Compliance Officer. The Compliance Department at Hilltop Securities, Inc. is responsible for detecting, preventing, and mitigating compliance, regulatory and reputational risk for Hilltop Securities, Inc and Momentum Independent Network Inc., an affiliated Broker/Dealer. The department monitors rules and regulations, assesses risk, and implements policies, procedures and controls to comply with regulatory changes and updates. Compliance conducts Firm training, responds to regulatory inquiries, examinations, and audits, in addition to on-going monitoring for breaches in policy through independent testing and audits.