RAY P. HUIE
Lantana
Summary
Led comprehensive compliance efforts in the financial securities industry, achieving significant improvements in audit response times and regulatory adherence. Successfully managed cross-functional teams to enhance compliance frameworks and mitigate operational risks. Strong communicator, consistently updating senior management on examination findings and strategic compliance initiatives.
Overview
1
1
Certification
29
29
years of professional experience
Work History
Compliance Director
Futu Clearing
09.2022 - Current
- Primary coordinator and project owner for all regulatory examinations, audits, investigations and information requests from FINRA, the SEC, state regulators, exchanges and other governmental agencies.
- Lead the firm’s responses to routine and cause examinations, investigations, cycle examinations and regulatory inquiries.
- Coordinate information gathering efforts across Compliance, Operation, Technology, Risk, Finance and business units to ensure timely and accurate response to regulatory requests.
- Maintained examination logs, regulatory correspondence, document repositories, and response tracking systems to support compliance efficiency and accuracy.
- Prepare and coordinate management response, remediation plans and corrective action initiatives resulting from examinations or findings.
- Conduct internal investigations involving potential regulatory violations, supervisory concerns, customer complaints and other compliance matters.
- Updated senior management and Chief Compliance Officer on examination status, findings, risks, and remediation efforts, ensuring informed decision-making.
- Supported compliance across clearing operations functions.
- Participate in new product reviews, operational initiatives and regulatory change management projects impacting clearing activities.
- Monitor regulatory developments affecting broker-dealer clearing firms and assess their impact on the organization.
- Participate in risk assessments and control reviews across business and operational functions.
- Developed productive relationships with business leaders and affiliated firms to enhance collaboration and compliance alignment.
Compliance Manager
Hilltop Securities Inc.
07.2018 - 08.2022
- Directly manage a team of 5 Compliance Officers. Responsibilities include providing oversight to over 750 employees and 250 independent contractors, supporting the firm’s 2 Broker Dealers and 3 RIA's for the following areas: Capital Markets (Fixed Income, Equities, Options), Advertising and Communications, Licensing and Registration, Public Finance, Regulatory Responses, Commodities.
- Effectively managed teams that reported findings to upper management and regulators.
- Create, update, and maintain Firm WSPs.
- Coordinate Firm CE and annual CEO certification process.
Senior Compliance Officer
Hilltop Securities Inc.
10.2017 - 07.2018
- Responsibilities as Regulatory Coordinator included - Review and respond to various requests and audits (FINRA, SEC, State); CEO Certification (FINRA Rule 3130).
- Ensured compliance with federal regulations and internal policies at Hilltop Securities.
- Reviewed and updated compliance manuals and training materials regularly.
- Conducted audits to identify compliance gaps and recommended corrective actions.
Insurance Field Agent
Knights of Columbus
11.2016 - 10.2017
- Responsibilities included Insurance Sales, Recruiting and Policy Assignments.
Field Agent
Independent Compliance Consultant
03.2013 - 10.2016
- Reviewed and approved advertising, conducted audits (branch, regulatory, internal), and managed general system oversight for 3 regional managers and 155 registered associates.
Vice President – National Sales Supervisor
SWS Group
10.2004 - 12.2005
- Responsibilities included Head of Sales Supervision (Brokerage, RIA, and Direct business), Managed the Supervisory System for 2 Regional Managers, 2 Supervisory managers, 26 Offices of Supervisory Jurisdiction and 200 individual Registered Representatives and Corporate Representative for NASD Arbitrations & Depositions.
- Including Southwest Securities, Inc. and SWS Financial Services, Inc.
Assistant Vice President – Senior Compliance Examiner
SWS Group
05.2003 - 10.2004
- Responsibilities included SROP (Senior Registered Option Principal), Equity Trading Compliance: responsible for TMMS Audits, Regulatory inquiries including MRD responses, assurance for adequate supervisory procedures, Responsible for annual audits for all trading areas including Listed, OTC and Bulletin Board Market Makers, Institutional Sales, Proprietary Trading and Floor Trading Operations.
- Including Southwest Securities, Inc. and SWS Financial Services, Inc.
Vice President – Operations
SWS Group
03.2003 - 05.2003
- Responsible for day-to-day operations for the Independent Broker division and the Online Investor division (My Discount Broker) including New Accounts, Customer Service and Trading departments, SROP (Senior Registered Option Principal), MSRB (Municipal Securities Principal for the Firm).
- Including Southwest Securities, Inc. and SWS Financial Services, Inc.
Vice President – Equity Trading
SWS Group
05.2001 - 03.2003
- Responsible for all equity trading issues of the Firm, Branch Manager of the Executive/Main Branch of the Firm. Responsible for the day-to-day supervision including all aspects of sales supervision (i.e., daily trade blotter review, new account approvals, managing the RR’s), Executive Representative of Information to the NASD, SROP (Senior Registered Option Principal), MSRB (Municipal Securities Principal for the Firm).
- Including Southwest Securities, Inc. and SWS Financial Services, Inc.
Division Manager
SWS Group
06.2000 - 05.2001
- Responsible for the day-to-day supervision of all RR’s assigned to this division, Registered Option Principle responsible for the daily review and approval of all option activity, Responsible for all trade executions in managed/fee-based accounts.
- Including Southwest Securities, Inc. and SWS Financial Services, Inc.
Agency Trader
HD Vest Financial Services, Inc.
03.1998 - 06.2000
- Responsibilities included - Executed trades on behalf of the RR including Equities, Bonds, Options/Spreads and Mutual Funds, reconciled all firm inventory accounts including the Wash, Bond, and Error accounts, Promoted to Trading Desk Supervisor in May 2000.
Customer Service Consultant
HD Vest Financial Services, Inc.
06.1997 - 03.1998
- Assisted RR’s and clients with inquiries and problem resolution for brokerage, fee-based, and direct mutual fund business, trained and assisted new staff in problem resolution, and tracked all issues to guarantee timely resolution.
Education
BBA - Finance
Texas A&M University-Commerce
Skills
- Regulatory compliance
- Regulatory expertise
- Regulatory response
- Audit coordination
- Internal investigations
- Risk assessment
- Compliance management
- Policy writing
- Data analysis
- Process improvement
- Team leadership
- Effective communication
- Critical thinking
- Conflict resolution
Certification
- 3, Futures and Commodities
- 55, Equity Trader/Limited Representative
- 4, Registered Option Principal
- 63, Uniform Securities Agent State Law
- 7, General Securities Representative
- 66, Registered Agent and Investment Advisor
- 12, NYSE Branch Manager
- 79, Investment Banking
- 24, General Securities Principal
- 99, Operations Professional
- 53, Municipal Securities Principal
- Texas Insurance License (Group 1)
Timeline
Compliance Director
Futu Clearing
09.2022 - Current
Compliance Manager
Hilltop Securities Inc.
07.2018 - 08.2022
Senior Compliance Officer
Hilltop Securities Inc.
10.2017 - 07.2018
Insurance Field Agent
Knights of Columbus
11.2016 - 10.2017
Field Agent
Independent Compliance Consultant
03.2013 - 10.2016
Vice President – National Sales Supervisor
SWS Group
10.2004 - 12.2005
Assistant Vice President – Senior Compliance Examiner
SWS Group
05.2003 - 10.2004
Vice President – Operations
SWS Group
03.2003 - 05.2003
Vice President – Equity Trading
SWS Group
05.2001 - 03.2003
Division Manager
SWS Group
06.2000 - 05.2001
Agency Trader
HD Vest Financial Services, Inc.
03.1998 - 06.2000
Customer Service Consultant
HD Vest Financial Services, Inc.
06.1997 - 03.1998
BBA - Finance
Texas A&M University-Commerce