Compliance Officer

Benefits

Parental leave

Not verified

Non-birth-parent leave

Not verified

Family-building benefits

• Fertility benefits: Not verified
• Adoption assistance: Not verified
• Surrogacy assistance: Not verified

Mental health support

Not verified

Relocation assistance

Not verified

Childcare support

Not verified

Learning budget

Not verified

Verification

Not verified checked Jun 13, 2026

Salary

Not verified

401(k) match

Reported from DOL Form 5500 industry filing (not employer-specific)

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Market context

U.S. role benchmark (BLS OEWS)

$117,235 U.S. median for this role

Projected growth (BLS Employment Projections)

+2.6% - Average

Matched to SOC 23-1011 - Legal aggregate by role bucket.

Source: U.S. Bureau of Labor Statistics, OEWS, May 2024 and Employment Projections, 2024-2034.

Schedule

Shift type

Not verified

Weekend work

Not verified

Company

Equity

Offered Verified - SEC 10-K source checked Jun 20, 2026

Application

Cover letter

Not verified

Assessment

Not verified

Deadline

Not stated

Where they hire

State eligibility is not yet verified.

About this role

Compliance Officer Dallas, TX, United States The Compliance Department is responsible for ensuring that Hilltop Securities Inc. has effective policies and procedures in place and enforcing those policies as set forth by the industry regulators. The department also holds compliance responsibility for an affiliated broker/dealer (Hilltop Securities Independent Network Inc.). The Compliance Officer responsibilities may include providing compliance surveillance for, and conduct on-site compliance audits of, branch locations and home office business units. In addition, this position may support employee trade reviews, advertising and marketing, annual compliance meetings, customer complaints and electronic communications, regulatory requests and examinations and other departmental projects as assigned by management staff. Prepare and conduct on-site compliance inspections of branch and home office locations and communicate the results of those inspections in a professional and unbiased manner. Detect and resolve issues which may present a failure to comply with rules or regulations. Assist with the education of Firm associates with respect to regulatory issues. Assist with the annual CEO Certification process. Assist with investment advisory compliance, including support for annual Form ADV Part 2A/2B (206) Provide assistance with tasks related to the review and updating of written supervisory policies. Assist Compliance Management personnel with other duties as assigned. Out of town travel for this position is estimated at 30-40 percent. Bachelor's degree, preferably in business, or equivalent of two years financial service industry experience. Successful completion of the SIE and Series 7 is required or must be obtained within 1 year of hire. Knowledge of compliance

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