Hightower Advisors
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Senior Compliance Specialist
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Hightower Advisors Our Story
Founded in 2008, Hightower is a wealth management firm that provides investment, financial and retirement planning services to individuals, foundations and family offices, as well as 401(k) consulting and cash management services to corporations. Hightower’s capital solutions, operational support services, size and scale empower its vibrant community of independent-minded wealth advisors to grow their businesses and help their clients achieve their financial vision. Based in Chicago with advisors across the U.S., we operate as a registered investment advisor (RIA). What You’ll Do
Review electronic communications, maintain violations and exceptions logs from end to end, managing up as necessary, and ensuring the proper documentation and follow-through are performed. Assist in managing compliance queues, conduct various analysis, and related tasks ensuring proper acknowledgement and handling within the appropriate timeframe. Exercise and demonstrate sound judgment, critical thinking, and decision-making capabilities, leveraging resources and serving as a stakeholder within the Department taking full ownership of assigned responsibilities. Analyze and identify issues and trends for improved processes and controls. Develop and track improvement and/or remediation plans. Interact with and support personnel at all levels of the Firm’s various business units. Support the Compliance Department with various projects as required. Foster a positive compliance culture. What You’ll Bring
Meticulous attention to detail, motivated by excellence Exceptional critical thinking and communication skills, ability to educate – not dictate. 3+ years of professional experience in operations and/or compliance working for a registered investment advisor and/or broker-dealer. Effective at prioritization of workload with competing priorities while producing high quality work. Ability to independently analyze issues and requirements with the critical process of understanding business practices and implications and assist with the continued refinement of a supervisory control framework. Highly responsive and proactive, able to own tasks from start to finish. Ability to take initiative and work independently with minimal supervision, while being equally comfortable working collaboratively. Proficient in the use of MS Office applications. Deep understanding of SEC and FINRA rules and regulations as they relate to Hightower’s business model. Organization and project management skills. Series 7 and 66 (or 63 and 65), 9,10. Series 24 securities licenses preferred, or able to obtain, 24 within 6 months of hire. What We Offer
Coverage on the first day of employment for medical, dental, and vision insurance Paid parental leave (16 weeks for primary caregiver and 8 weeks for secondary caregiver) Mother’s lounge onsite Flexible PTO plan Hybrid work schedule (minimum of 3 days in office) Free brand-new gym in the Chicago office 401k matching plan HSA employer contributions Student loan assistance Pet insurance Base salary of $90,000-$100,000 plus discretionary bonus (exact base salary amount will be dependent on experience) AN EQUAL OPPORTUNITY EMPLOYER
Hightower is an equal opportunity employer and does not discriminate based upon race, color, religion, sex, sexual orientation, pregnancy, marital status, national origin, citizenship, veteran status, ancestry, age (over 40), physical or mental disability, medical condition (cancer-related), gender identity or expression, genetic information including sickle cell or hemoglobin C trait, or any other consideration made unlawful by applicable federal, state, or local law. You are a U.S. citizen, U.S. permanent resident or possess other unrestricted U.S. work authorization and will not require sponsorship for U.S. work authorization now or anytime in the future. Seniority level
Mid-Senior level Employment type
Full-time Job function
Finance and Sales Industries
Financial Services Investment Management Capital Markets Referrals increase your chances of interviewing at Hightower Advisors by 2x Get notified about new Senior Compliance Specialist jobs in
Chicago, IL .
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Senior Compliance Specialist
role at
Hightower Advisors Our Story
Founded in 2008, Hightower is a wealth management firm that provides investment, financial and retirement planning services to individuals, foundations and family offices, as well as 401(k) consulting and cash management services to corporations. Hightower’s capital solutions, operational support services, size and scale empower its vibrant community of independent-minded wealth advisors to grow their businesses and help their clients achieve their financial vision. Based in Chicago with advisors across the U.S., we operate as a registered investment advisor (RIA). What You’ll Do
Review electronic communications, maintain violations and exceptions logs from end to end, managing up as necessary, and ensuring the proper documentation and follow-through are performed. Assist in managing compliance queues, conduct various analysis, and related tasks ensuring proper acknowledgement and handling within the appropriate timeframe. Exercise and demonstrate sound judgment, critical thinking, and decision-making capabilities, leveraging resources and serving as a stakeholder within the Department taking full ownership of assigned responsibilities. Analyze and identify issues and trends for improved processes and controls. Develop and track improvement and/or remediation plans. Interact with and support personnel at all levels of the Firm’s various business units. Support the Compliance Department with various projects as required. Foster a positive compliance culture. What You’ll Bring
Meticulous attention to detail, motivated by excellence Exceptional critical thinking and communication skills, ability to educate – not dictate. 3+ years of professional experience in operations and/or compliance working for a registered investment advisor and/or broker-dealer. Effective at prioritization of workload with competing priorities while producing high quality work. Ability to independently analyze issues and requirements with the critical process of understanding business practices and implications and assist with the continued refinement of a supervisory control framework. Highly responsive and proactive, able to own tasks from start to finish. Ability to take initiative and work independently with minimal supervision, while being equally comfortable working collaboratively. Proficient in the use of MS Office applications. Deep understanding of SEC and FINRA rules and regulations as they relate to Hightower’s business model. Organization and project management skills. Series 7 and 66 (or 63 and 65), 9,10. Series 24 securities licenses preferred, or able to obtain, 24 within 6 months of hire. What We Offer
Coverage on the first day of employment for medical, dental, and vision insurance Paid parental leave (16 weeks for primary caregiver and 8 weeks for secondary caregiver) Mother’s lounge onsite Flexible PTO plan Hybrid work schedule (minimum of 3 days in office) Free brand-new gym in the Chicago office 401k matching plan HSA employer contributions Student loan assistance Pet insurance Base salary of $90,000-$100,000 plus discretionary bonus (exact base salary amount will be dependent on experience) AN EQUAL OPPORTUNITY EMPLOYER
Hightower is an equal opportunity employer and does not discriminate based upon race, color, religion, sex, sexual orientation, pregnancy, marital status, national origin, citizenship, veteran status, ancestry, age (over 40), physical or mental disability, medical condition (cancer-related), gender identity or expression, genetic information including sickle cell or hemoglobin C trait, or any other consideration made unlawful by applicable federal, state, or local law. You are a U.S. citizen, U.S. permanent resident or possess other unrestricted U.S. work authorization and will not require sponsorship for U.S. work authorization now or anytime in the future. Seniority level
Mid-Senior level Employment type
Full-time Job function
Finance and Sales Industries
Financial Services Investment Management Capital Markets Referrals increase your chances of interviewing at Hightower Advisors by 2x Get notified about new Senior Compliance Specialist jobs in
Chicago, IL .
#J-18808-Ljbffr