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 vision of “well-th. rebalanced.” Based in Chicago with advisors across the U.S., we operate as a registered investment advisor (RIA).
Your Future Team
Hightower’s Compliance Department strives to provide industry-leading support to multiple subsidiaries of Hightower Holding, LLC. We are passionate about serving as collaborators within all facets of the organization and focus on developing strategies that are effective for advisors, their clients, and other mid and back-office departments, while following the spirit of the regulation.
What You’ll Do
You will be predominantly self-directed and self-motivated, receiving occasional direction and oversight from our Chief Compliance Officer who may delegate oversight and instruction to other members within the Department.
- Prepare multiple regulatory filings.
- Perform OFAC, AML, FinCEN, TRACE, CAT and Option Trade reviews (as licenses permit).
- Help own several daily Departmental functions such as: practice and new hire onboardings, investment advisor representative and registered representatives U4 and U5 functions, preparation and maintenance of ADV Part 2B disclosure documents, our proxy voting process and code of ethics related reviews.
- Conduct due diligence reviews of onboarding practices together with the Department’s senior leadership, managing up, issue spotting and proposing solutions.
- Be a partner in the implementation of the firm’s compliance program including taking ownership of relevant documentation, training, back end processes, etc.
- Foster a culture of compliance by promoting awareness and understanding of regulatory requirements.
- Investigate and respond to compliance-related incidents.
- Perform regulatory research as necessary.
- Maintain and create compliance desk procedures.
- Monitor changes in the regulatory landscape and industry trends.
- Support the compliance program functions of Hightower’s sister RIA, Madison Avenue.
- Interact with and support personnel at all levels of the Firm’s various departments.
- Support the Compliance Department with different projects.
What You’ll Bring
- 5+ years compliance experience working for a registered investment advisor, or combination of experience with a registered investment advisor and broker dealer.
- Licensing
- Minimum Required: FINRA Series 7 & 24 or ability to obtain within one year.
- Investment Adviser Certified Compliance Professional or similar designation; Series 4, 9/10, 27, 53, 66, 65 or some combination thereof or ability to obtain a combination thereof within one year.
- Bachelor’s degree or equivalent experience.
- Excellent knowledge of FINRA and SEC Rules as they relate to Hightower’s business model (MSRB optional but preferred).
- Independently analyze issues and requirements with the important process understanding of business practices and possible effects, and assist with the continued refinement of a supervisory control framework.
- Responsive and proactive, able to manage tasks from start to finish
- Experience with “managing up”.
- Advanced skills in Office and related applications (PowerPoint, Word, Excel, Adobe, etc.).
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)
- Flexible PTO plan
- Hybrid model work schedule (50% in office)
- 401k matching plan
- HSA employer contributions
- Student loan assistance
- Pet insurance
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.