Compliance Officer: On-Site Audits & Regulatory Excellence
Hilltop Securities Inc.
A financial services company is seeking a Compliance Officer responsible for ensuring effective policies and procedures. The role involves conducting on-site inspections, educating staff on regulatory issues, and resolving compliance failures. Candidates should have a Bachelor's degree, knowledge of compliance issues, and must complete SIE and Series 7. This position requires effective communication skills and moderate computer proficiency, with travel expectations of 30-40%. #J-18808-Ljbffr Hilltop Securities Inc.
Vacancy posted 1 day ago
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