Wealth Management Supervision

Hilltop Securities is currently looking to hire a Regional OSJ Supervisor in Dallas, Texas. This position is responsible for the day-to-day supervision of independent contractor financial advisors’ activities, including but not limited to the review of correspondence daily transactions, outside business activity, review of exception reports, etc., to ensure compliance with all regulatory requirements and company compliance policies and procedures.

 

• General supervision of the sales activities of registered representatives.
• Conduct and evidence the suitability analysis of transactions.
• Review and approve incoming and outgoing correspondence.
• Assist in resolving paperwork and other account-related deficiencies and inquiries.
• Review and approve new accounts, and track, report and resolve deficiencies and inquiries related to new account opening and anti-money laundering procedures.
• Assist the Compliance Department in the investigation and resolution of customer complaints.
• Primary contact for Compliance Department exams of assigned representatives.
• Create and maintain required books and records.

• FINRA Series 3, 4, 7, 24, 31, 53, 63 and 65/66 registrations and appropriate insurance & securities certifications.  Minimum: FINRA Series 7, 24 and 63.
• High school graduate or equivalent.  Bachelor's degree preferred.
• Minimum of five years compliance and/or supervisory experience.
• Strong knowledge of financial services industry and products & services.
• Knowledge of Broker/Dealer regulatory issues.
• Knowledge of financial services industry.
• Knowledge of compliance policies and procedures.
• Aptitude for analysis, investigation & problem solving.
• Demonstrated ability to cope with change and ability to manage multiple priorities.
• Strong oral/written communication skills, demonstrated organization skills, demonstrated conflict management skills, demonstrated leadership skills and the ability to influence behavior.
• Self-motivated with the ability to achieve results in an independent environment, aptitude & comfort with technology, training & delivery skills.

 

The above statements are intended to describe the general nature and level of work being performed by individuals in, or assigned to, the above position and are not intended to be construed as an exhaustive list of all responsibilities, duties and skills required and may be changed at the discretion of the Company.

 

At HilltopSecurities, we believe in building noble and collaborative relationships that enrich the financial future of individuals, businesses and communities. With an extensive portfolio of products, we deliver a broad range of investment banking and related financial services that help our clients achieve their definition of success. As a subsidiary of HilltopHoldings, which also encompasses PlainsCapital Bank, and PrimeLending, we have the financial strength and stability that has withstood the test of time. Our nationwide presence in 400 locations across 44 states provides our associates with extensive opportunities to grow their careers in a diverse organization that truly values relationship capital above all else.