Registration Specialist

HilltopSecurities is currently looking to hire a Registration and Licensing Specialist. This role will support the Compliance Department for the firm focusing mainly on broker/dealer agent and investment advisor representative registration. The Compliance Department is responsible for developing, maintaining, and enforcing policies and procedures of our broker/dealers and registered investment advisors for the purpose of complying with rules and regulations set forth by industry regulators. The Registration and Licensing Specialist will report to the Compliance Manager.

Essential Functions 

Responsible for all aspects of SEC, FINRA and state securities registration and licensing for the Firm and employees. Primary responsibilities include:

• Accurately process FINRA Forms U-4, U-5, BR, BD and various state forms
• Assist new representatives through the registration and licensing process
• Correspond with regulators, business units and Compliance management staff in areas relating to arrest records, disciplinary events and waiver requests
• Maintain fingerprint records
• Coordinate study materials, classes and assist in scheduling qualification exams
• Monitor and notify representatives of their FINRA regulatory element and state required investment advisor continuing education deadlines
• Pay periodic fees and assessments on behalf of the firm
• Administer the annual registration renewal process for the firm, branch offices and registered representatives
• Additional compliance tasks may be assigned as necessary.
• High school diploma or equivalent with a minimum of 2 years direct compliance or operational experience in a broker dealer.
• Working knowledge of FINRA and state registration requirements for BDs and RIAs.
• Strong MS Office skills. Knowledge of WebCRD a plus.
• Excellent written and verbal communication skills.
• Must be highly organized, detail oriented and customer focused.

The 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.

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• 717 N Harwood St, Dallas, TX, 75201, US
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