About this role
Compliance Officer, Broker-Dealer Investment Banking at Texas Capital Bank. Location: Dallas, Texas, United States. Role: designing policies, overseeing surveillance, engaging regulators Requirements: Minimum 7 years progressive broker-dealer/RIA compliance experience, deep SEC/FINRA knowledge, Series 24/7/63 required, trading surveillance and derivatives experience, exam response experience, strong writing and Microsoft Office skills. Category: Legal and Compliance Seniority: Senior Level Tools: Microsoft Office Certifications: series 24, series 7, series 63, series 3, series 57, series 53 Commitment: Full Time Workplace: Onsite Languages: English