Hybrid Wealth Management Supervision bei HilltopSecurities
HilltopSecurities · Dallas, Vereinigte Staaten Von Amerika · Hybrid
- Senior
- Optionales Büro in Dallas
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, PrimeLending and National Lloyds corporation, 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.
HilltopSecurities is currently looking to hire a Wealth Management Supervisor in Dallas, Texas. This role will Support PCG branch managers and OSJs supervisory activities to ensure policies/procedures are being adequately implemented on a consistent basis. Implement and develop tactical plans and complex assignments with an emphasis on advisory business line oversight. Position will include non-advisory oversight responsibility as well. Position requires extensive communications with internal customers and regulatory agencies and is mandated with identifying, researching, analyzing, and resolving complex issues in a timely manner. This may require frequent onsite visits to the branch/OSJ offices for training/support of branch managers/operations managers in new/revised processes resulting from changes in regulatory or firm policies.
Responsibilities
- Assist Branch Managers and OSJ’s in Advisory Supervision with potential of direct supervisory oversight.
- Ongoing evaluation of advisory supervisory systems and policies, including WSPs. Suggesting/implementing changes when necessary.
- Review of surveillance reports and follow up with the branch manager/OSJ’s where necessary.
- Supporting branch managers/OSJs in practical implementation of the Advisory WSPs. This may require onsite visits to the branch office for hands on guidance/training.
- Supporting/training new branch managers/OSJs in advisory supervisory activities in the branch.
- Supporting Senior Vice President, Sales Supervision and in various special projects and activities, as necessary.
- Act as a subject matter resource; regularly train and develop staff to increase business knowledge and expertise.
- Develop contacts within the industry and regulatory bodies to ensure that HTS is aware of regulatory developments as well as operational and management practices designed to mitigate regulatory, appearance, and business risks.
- Participate in establishing objectives and developing processes and procedures to ensure adherence to all regulatory requirements.
- Any other duties and special projects, as necessary.
Qualifications
- Bachelor’s degree in business strongly preferred. 10+ years of experience in the financial services industry and extensive knowledge of compliance and industry regulations, practices and policies.
- Series 4, 7, 24, 53, 65/66 and series 63 required.
- Risk management and advisory supervision experience preferred.
- Superior understanding and experience with Investment Advisor Act requirements.
- Superior understanding of branch office functions and services/Securities Industry background.
- Exceptional oral and written communication skills along with strong organizational skills and analytical skills.
- Advanced PC skills with demonstrated knowledge and application of word processing and spreadsheet packages.
- Strong leadership abilities coupled with the capability to contribute as an individual performer.
- The ability to develop and maintain positive working relationships internally and externally.
