Director of Compliance

SWS Group (NYSE-SWS) is a Dallas-based, full-service securities and banking firm that delivers a broad range of investment and related financial services through its subsidiaries: Southwest Securities, Inc., Southwest Securities, FSB, and SWS Financial Services, Inc. Clients of the company include individual and institutional investors, broker/dealers, corporations, governmental entities and financial intermediaries. The company's common stock is listed and traded on the New York Stock Exchange under the symbol SWS.

The Director of Compliance is responsible for developing and monitoring the firm’s overall compliance process to ensure that the firm’s practices are in alignment with the company’s policies and meet the guidelines of various legal and regulatory agencies (FINRA, NYSE, SEC) as well as federal and state requirements. This position fulfills the regulatory responsibilities of the Chief Compliance Officer for the company and all licensed broker dealer affiliates.

Essential Duties and Responsibilities:

• Directs and oversees the compliance staff in reviewing/monitoring requirements and compliance with FINRA, SIPC, SEC and NYSE rules and regulations.
• Works closely with senior management to analyze current industry trends, internal developments and compliance issues to determine the scope of department activities and to develop new programs as needed.
• Actively participates in the identification, management and resolution of complex compliance issues and develops appropriate business solutions.
• Advises business lines on all compliance matters and assists in the resolution of problems/issues.
• Conducts periodic reviews of various business units with regard to adherence to firm policy and procedures as well as compliance with applicable regulatory requirements and laws.
• Coordinates continuing education requirements with the training department.
• Liaise and coordinate regulatory, internal and external examinations and reviews and collaborates with FINOP during FINOP examinations.
• Directs the activities and develops the effectiveness of the Compliance staff through effective talent management practices.
• Manages and delivers annual compliance risk assessment to the firm’s leadership and Board of Directors.
• Conducts and manages regulatory and compliance due diligence with respect to the firm’s acquisition activities.
• Provides assistance to the legal function in compliance related matters.

Qualifications/Requirements:

Experience:

• Minimum 4 years management experience.
• Candidate must possess strong analytical, written, verbal, listening and influencing skills.
• Demonstrated leadership, problem-solving abilities and strong attention to detail.
• Detailed knowledge of securities regulation and applicable laws.
• Demonstrated history of high ethical standards including discretion in dealing with confidential and financial information.
• Proven ability to effectively counsel senior management and outside constituents.
• Confirmed talent management experience, with ability to develop and retain staff.
• Ability to excel in a fast-paced, changing environment.

Education: BS/BA and 10-15 years experience in a senior compliance position within a securities-related environment, or equivalent combination of education and experience; JD desired.

Licenses/Registrations/Certifications: Series 7, 24, 9, 10, 14

Additional Qualifications: Minimal travel required

SWS Group, Inc is a Equal Opportunity Employer. To apply for this position, visit our career opportunities page at www.swsgroupinc.com

Job presented by