Position Information

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Texas Capital Bank
At Texas Capital Bank, we are driven by a single-minded and unwavering mission: to serve business and the individuals who run them. We use a consultative approach and innovative technologies to develop new ideas that give the bank and our clients a competitive advantage. We partner with our customers to push the boundaries of what’s possible—together. Headquartered in Dallas, Texas Capital Bank has offices in Austin, Fort Worth, Houston, Richardson, Plano and San Antonio, and we serve clients in a variety of industries from coast-to-coast. Texas Capital Bank Private Wealth Advisors assists families and business across the US. Our rapidly growing investment business is seeking an experienced compliance professional to serve as our RIA’s Compliance Officer as well as the primary compliance officer supporting trust and private banking. Our growth is your gain. We are on the Forbes Best Banks in America list, and were named a top place to work by The Dallas Morning News, Houston Chronicle and San Antonio Express-News. For further information, please visit us at www.texascapitalbank.com. Responsibilities: Work with other leaders throughout the organization to help drive a positive culture of compliance and to help drive accountability amongst department leaders and the stakeholders in their departments Maintain required books and records regarding firm registration (to include ADV, Notice Filings, Forms U4/U5) Serve as the named Chief Compliance Officer for Private Wealth Advisor’s RIA Identification of conflicts of interest that may create risk exposure for the firm and adequately addressing such risks in the firm’s policies and procedures Ensure all regulatory filings are accurate and complete including but not limited to ADVs and 13f reporting Ensure compliance manual is up to date with rules and regulations Conduct comprehensive compliance reviews and identify and prioritize compliance initiatives Serve as primary point of contact and coordinate all regulatory communications regarding examinations and inquiries Respond to any customer complaints following the Bank’s process Administer compliance training for all PWA employees Participate in the bank’s consumer banking risk review process, including the risk committee process and issue management Prepare and submit bank regulatory reports for trust Review Regulation 9 reports for Trust compliance Provide advice to the firm’s executive and management leaders regarding compliance issues and new regulations Other duties as assigned
Position: Texas Capital Bank
Organization: Texas Capital Bank
Location: ,  AL 
United States
Posting Start Date: 6/4/2020
Date Posted: 6/4/2020
Requirements 5 years + experience in Compliance Officer, Risk Management or Compliance Operations role required. RIA experience preferred Bachelor’s degree required. Finance, business administration or related field preferred Series 65 Required Experience responding to and communicating with Regulatory professionals Professional experience as an effective communicator at all levels in the organization, with strong oral and written skills and a willingness to share information required Strong detail and organizational skills Self-starter with the ability to meet or exceed deadlines, prioritize, multi-task, and maintain flexibility in fast-paced, changing environment Successful experience in a team-orientated environment, while able to work independently required Working knowledge of applicable SEC and state regulations, including the Investment Advisers Act of 1940 and Texas state Securities Act and regulations Experience in implementing and enforcing a compliance program (including policies and procedures) to ensure compliance with SEC, state, and firm policies Knowledge of advertising, sales literature, correspondence, and educational materials rules and regulations Ability to drive towards outcomes while demonstrating flexibility to changing requirements Legal background strongly preferred
Status: This listing expires on: 7/4/2020
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Organization Information
Texas Capital Bank

,  AL 
United States