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Hightower Advisors · 1 day ago

Senior Compliance Specialist

Chicago, IL

Full-time

Hybrid

Mid, Senior Level

$90K/yr - $100K/yr

3+ years exp

Hightower Advisors is a wealth management firm that provides investment, financial and retirement planning services. They are seeking a Senior Compliance Specialist to support the Compliance Department by reviewing communications, managing compliance queues, and developing processes to adhere to regulations.

Financial Services

Comp. & Benefits

No H1B

U.S. Citizen Only

Responsibilities

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

Qualification

SECFINRA regulationsCompliance experienceCritical thinkingMS Office proficiencyProject managementAnalytical skillsCommunication skillsAttention to detailInitiative

Required

Significant understanding of registered investment adviser and broker-dealer regulations and compliance requirements

Excellent communication and analytical skills

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

Preferred

Series 24 securities licenses preferred, or able to obtain, 24 within 6 months of hire

Benefits

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

Company

Hightower Advisors

Glassdoor4.1

Hightower is a wealth management firm that provides investment, financial and retirement planning services to individuals, foundations and family offices, as well as 401K consulting and cash management services to corporations.

Founded in 2008

Westport, Connecticut, USA

201-500 employees