Compliance Officer- Office Exams

Hightower•Chicago, IL

26d•$110,000•Hybrid

About The Position

Hightower is seeking an experienced Compliance Officer – Office Examinations to join its Compliance Department. Reporting to the Executive Director of Compliance Review, this role contributes to a risk-based office examination program for an SEC-registered investment adviser and FINRA-regulated broker-dealer. The position supports the firm's supervisory and compliance framework by identifying regulatory risks, assessing adherence to applicable regulations and internal policies, and helping strengthen the compliance program. The role conducts routine and for-cause examinations of branch offices, OSJs, and advisory locations, both onsite and remotely. It reviews compliance with SEC, FINRA, applicable state regulations, and firm policies and written supervisory procedures. The officer documents findings and risk assessments, prepares examination reports, tracks remediation, maintains examination records, and supports regulatory examinations. The role also helps refine examination procedures and identify trends that can inform policies, procedures, and training.

Requirements

3–5 years of experience in compliance, supervision, audit, or a related function within a broker-dealer or RIA.
Working knowledge of SEC and FINRA regulations, particularly branch supervision and office inspection requirements.
Ability to independently analyze issues and requirements with an understanding of business practices.
Responsive and proactive, with the ability to work autonomously or collaboratively depending on circumstances.
U.S. citizenship, U.S. permanent residency, or other unrestricted U.S. work authorization; sponsorship must not be required now or in the future.

Nice To Haves

Experience conducting compliance testing, audits, or office examinations.
FINRA licenses such as Series 7, 24, 65, or 66, or willingness to obtain them.

Responsibilities

Conduct routine and for-cause examinations of branch offices, OSJs, and advisory locations, onsite and remotely.
Evaluate compliance with SEC regulations, including the Investment Advisers Act of 1940; FINRA rules, including supervision under Rule 3110 and communications; applicable state regulations; and firm policies and written supervisory procedures.
Test and review risk areas including sales practices and suitability, advertising and communications, books and records, outside business activities and private securities transactions, fee billing and advisory practices, cybersecurity and safeguarding client information, and adherence to firm policies and procedures.
Escalate findings or potential violations to compliance leadership.
Document examination findings, risk impact assessments, and proposed remediation protocols.
Prepare and distribute examination finding reports.
Track remediation efforts and follow up with business partners to support timely resolution of identified issues.
Maintain accurate books and records of examinations, findings reports, and supporting documentation.
Help refine examination procedures, checklists, and risk-based methodologies.
Identify trends or recurring issues and provide input to enhance policies, procedures, and training.
Support SEC, FINRA, and state regulatory examinations by gathering documentation and responding to requests.

Benefits

Medical, dental, and vision insurance coverage beginning on the first day of employment.
Paid parental leave: 16 weeks for primary caregivers and 8 weeks for secondary caregivers.
Flexible PTO plan.
401(k) matching plan.
HSA employer contributions.
Student loan assistance.
Pet insurance.
Free, brand-new gym in the Chicago office.
Mother's lounge onsite.
Discretionary bonus.