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Capital One Financial Corp
Plano, TX, United States
Center 1 (19052), United States of America, McLean, Virginia Commercial Broker Dealer Compliance Advisor - Senior Manager The Compliance Advisor Senior Manager will report directly to the Commercial Broker Dealer Chief Compliance Officer. This role will support three institutional FINRA registered broker dealers and provide compliance support to
Job Source: Capital One Financial CorpCapital One
Plano, TX, United States
Center 2 (19050), United States of America, McLean, Virginia Commercial Broker Dealer Compliance Advisor - Senior Manager The Compliance Advisor Senior Manager will report directly to the Commercial Broker Dealer Chief Compliance Officer. This role will support three institutional FINRA registered broker dealers and provide compliance support the
Job Source: Capital OneConfidential
Irving, TX, United States
Vice President, Business Risk & Control Officer About the Company Renowned commercial & investment banking company with a global reach Industry Financial Services Type Public Company Founded 1812 Employees 10,001+ Categories Wealth Management Credit Cards Banking Financial Services Banking & Mortgages Consulting & Professional Services Brokerage B
Job Source: ConfidentialAJ Consultancy
Dallas
Job Description Job Description Our client who is an Existing Broker Dealer is opening a new office in Dallas/Fort Worth is looking for "Experienced" candidates for immediate hire in the Dallas/Fort Worth area or candidates who are willing to relocate to the Dallas/Fort Worth area. Onsite Only. Minimum Requirements: Must have worked at a US Regis
Job Source: AJ ConsultancyHilltop Holdings
Dallas, TX, United States
**Senior Risk Advisory Analyst (Broker/Dealer)** CAROUSEL_PARAGRAPH * Dallas, Texas * Audit, Risk, Compliance & Fraud * 13325 * Hilltop Holdings ** Share Job** ** Job Description** Hilltop Holdings Inc. (NYSE:HTH) is a Texas-based diversified financial holding company specializing in banking, mortgage origination , and financial advisory through i
Job Source: Hilltop HoldingsConfidential
Dallas, TX, United States
Vice President, Relationship Manager About the Company Profitable broker & financial advisory firm Industry Financial Services Type Public Company Founded 1989 Employees 5001-10,000 Categories Financial Services Consulting & Professional Services Brokerage Finance Investment Banking San Diego Employee Advisor Financial Advisor Financial Profession
Job Source: ConfidentialFinTech Executive Search Consultants
Dallas, TX, United States
Title: VP of Credit, Risk and Compliance Location: Dallas, TX Overview: Our Client, a leading payments company, is searching for a VP of Credit, Risk & Compliance in Dallas, TX to join their team. In this role, you will be responsible for but not limited to collaborating, evaluating, and preparing complex merchant applications for processing an
Job Source: FinTech Executive Search ConsultantsPhaxis
Dallas, TX, United States
Growing Clearing Broker dealer is seeking a strong surveillance candidate to join their compliance team. Responsibilities: Collaborate with assigned departments to enhance their policies and procedures. Review and analyze current policies and procedures, identifying areas for improvement. Recommend and implement new and enhanced practices re
Job Source: PhaxisDallas, TX, United States
Texas Capital is built to help businesses and their leaders. Our depth of knowledge and expertise allows us to bring the best of the big firms at a scale that works for our clients, with highly experienced bankers who truly invest in people's success - today and tomorrow.
While we are rooted in core financial products, we are differentiated by our approach. Our bankers are seasoned financial experts who possess deep experience across a multitude of industries. Equally important, they bring commitment - investing the time and resources to understand our clients' immediate needs, identify market opportunities and meet long-term objectives. At Texas Capital, we do more than build business success. We build long-lasting relationships.
Texas Capital provides a variety of benefits to colleagues, including health insurance coverage, wellness program, fertility and family building aids, life and disability insurance, retirement savings plans with a generous 401K match, paid leave programs, paid holidays, and paid time off (PTO).
Headquartered in Dallas with offices in Austin, Fort Worth, Houston, Richardson, Plano and San Antonio, Texas Capital was recently named Best Regional Bank in 2024 by Bankrate and was named to The Dallas Morning News' Dallas-Fort Worth metroplex Top Workplaces 2023 and GoBankingRate's 2023 list of Best Regional Banks. For more information about joining our team, please visit us at www.texascapitalbank.com.
Brief Overview
Reporting to Chief Compliance Officer for TCBI Securities, Inc., assists in the design, development, delivery and maintenance of the compliance program for the investment bank, with a focus on municipal advisory, municipal securities underwriting, and compliance with related MSRB, SEC and FINRA rules and regulations.
Responsibilities
* Draft/update/synchronize the firm's written policies, procedures and documents including the firm's written supervisory procedures, compliance manual, code of conduct and operational process documents, and participate in testing same.
* Coordinate with the firm's leadership, registered representatives, associated persons to monitor personnel specific and compliance related requirements (political contributions, outside accounts, personal trade approval, outside business disclosure, gifts and entertainment, etc.).
* Assist with the implementation of the broker-dealer ethics program to support related employee trading activities, OBA's, political contributions, etc.
* Create Firm Element Continuing Education content and deliver the firm's continuing education training. Track registered representatives' compliance with Regulatory and Firm Element training requirements.
* Help prepare and organize materials for internal/external annual audits and regulatory exams.
* Assist with preparation and ensure timely and accurate filings of regulatory reports and responses to regulatory inquiries.
* Research and keep abreast of applicable new rules or rule changes and implementing policies, procedures or other controls necessary to comply with such rule changes.
* Role is performed on-premises at the Dallas, Texas TCBI headquarters.
Qualifications
* Bachelor's degree in finance, economics, accounting, law or business administration.
* Minimum of 8 years of experience in the financial services industry, specifically, within a broker/dealer operating as an affiliate, subsidiary or division of a bank and/or RIA.
* Knowledge of financial products and services offered by investment bank, as well as applicable federal and state securities laws, rules regulations, and those of relevant SROs, including the MSRB.
* Possess excellent oral and written communication skills with the ability to dispassionately manage challenging and/or confrontational interaction with firm personnel, clients and regulators.
* Familiarity with Star Compliance, NetX360, Archer, Bloomberg and Global Relay technology a plus.
* Self-motivated, diligent, collaborative, conscientious, highly organized, detail-oriented and able to drive tasks to completion with minimal oversight.
* Team-orientated, able to complete tasks independently and and ability as to take on varying tasks in a fast-moving dynamic work environment.
* Series 7, 63, 9/10, 50, 52, 54, 53, 24 and/or JD a plus.
The duties listed above are the essential functions, or fundamental duties within the job classification. The essential functions of individual positions within the classification may differ. Texas Capital Bank may assign reasonably related additional duties to individual employees consistent with standard departmental policy.Texas Capital is an Equal Opportunity Employer.
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Email Alert for VP, Risk & Compliance Officer, Broker-Dealer Investment Banking jobs in Dallas, TX, United States
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