Compliance Manager- Registrations and Licensing

Hightower Advisors • Chicago, IL

1d • Hybrid

About The Position

The Compliance Manager, Registrations & Licensing, will take ownership of the accuracy, completeness, and timeliness of all firm licensing and registration activities for its affiliated FINRA regulated broker-dealer (BD) and SEC-registered investment adviser (IA). To be successful in this role, you must have a strong understanding of the compliance requirements around licensing and registration, including state specific requirements and the differing regulatory obligations applicable to broker-dealers and registered investment advisers. This position reports to the Director, Compliance / CCO of Hightower Securities.

Requirements

• Bachelor’s degree or equivalent professional experience.
• 7+ years of professional experience in compliance working for a registered investment advisor and/or broker-dealer.
• Licensing and registration experience required.
• Strong analytical, investigative, and problem-solving skills.
• Excellent written and verbal communication skills for regulatory and executive audiences.
• Ability to assess and articulate regulatory distinctions between BD and IA requirements.
• Independent judgment with a collaborative, risk-based approach.
• Strong organizational and project management capabilities.
• Deep understanding of SEC and FINRA rules and regulations as they relate to Hightower’s business model.
• 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.

Responsibilities

• Establish and maintain a governance framework for licensing and registration activities across BD and IA platforms.
• Directly execute FINRA U4/U5 filings, amendments, and registrations related to the BD and IA registrations.
• Manage day-to-day licensing, registration, and support case queue with timely follow-up and resolution.
• Support onboarding of new advisor teams and transitions.
• Manage and execute onboarding and offboarding activities for employees and advisors coordinating with other departments.
• Oversee and administer CE requirements while providing guidance to registered individuals.
• Leverage day-to-day execution insights to identify and drive process improvements.
• Monitor regulatory and system changes impacting registrations and licensing (SEC, FINRA, state), translate requirements into operational updates, and drive implementation timelines across stakeholders.
• Engage with regulators, addressing registration and licensing-related inquiries promptly and seeing them through to completion.
• Partner with cross functional department to streamline onboarding/offboarding and registration data flows; identify automation opportunities and system enhancements
• Prepare and maintain ADV Part 2B disclosure documents
• Maintain firm and individual insurance licenses, renewals, and invoice allocations.

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
• Free gym in the Chicago office
• 401k matching plan
• HSA employer contributions
• Student loan assistance
• Pet insurance

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: Associate degree