On-Site Compliance Auditor & Advisor
Hilltop Holdings
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%. #J-18808-Ljbffr
Vacancy posted 3 days ago
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