Posted on: September 21, 2023
200 W Madison St, Chicago, IL 60606, USA Req #828 Wednesday,
August 16, 2023 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). Our commitment to our culture
is demonstrated every day through the Hightower Way. By joining
Hightower, you will build a community of inclusive relationships,
take proactive ownership, embrace others' perspectives, and have an
uncompromising dedication to excellence. 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
processes for advisors, their clients, and other mid and
back-office departments while following the spirit of the
regulation. What You'll Do We are looking for a Compliance Director
with strong communication skills and a problem-solving mindset. You
will be a valued member of the Department, working with tenured
professionals to ensure our and Department's goals, mission, and
values are met and upheld. You can perform at a high level under
- Serve as a Hightower brand ambassador by upholding The
Hightower Way cultural elements - Mission, Purpose, V.A.L.U.E.
Experience, Commitment, and Standards, promoting excellence in the
internal and external client experience during every encounter
- Improve consistency in every client and colleague encounter by
embodying the core principles of our Hightower V.A.L.U.E.
Experience (Validate, Actively Listen, Leverage Resources,
Understand Ownership, Express Gratitude)
- Partner with cross-discipline team members to support
collaboration and promote a positive client experience
- Prepare different 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 our compliance program
including taking ownership of relevant documentation, training, and
- Foster a culture of compliance by promoting awareness and
understanding of regulatory requirements.
- Investigate and respond to compliance-related incidents.
- Perform regulatory analysis.
- Monitor changes in the regulatory landscape and industry
- Support the compliance program functions of Hightower's sister
RIA, Madison Avenue.
- Work with and support personnel at all levels of our multiple
- Support the Compliance Department with several projects. What
- 5+ years of compliance experience working for a registered
investment advisor or a combination of experience with a
- Minimum Required: FINRA Series 7 and 24 or ability to obtain
within one year.
- Strongly Preferred: Investment Adviser Certified Compliance
Professional or similiar 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).
- Advanced skills in Office and related applications (PowerPoint,
Word, Excel, Adobe). 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
- We commit to a transparent, people-first environment where
talent is maximized through our diverse, equitable and inclusive
- We nurture a spirit of belonging, are energized by challenges,
celebrate our successes, and achieve individual and collective
well-th goals 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
- 200 W Madison St, Chicago, IL 60606, USA
Keywords: Hightower, Chicago , Compliance Director, Executive , Chicago, Illinois
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