Compliance Officer-Data Analytics & Reporting

Hightower Advisors • Chicago, IL

3d • Hybrid

About The Position

Hightower is seeking a junior-level Compliance Officer focused on compliance data and reporting. The role supports the firm's branch examination program and broader compliance testing efforts, working with experienced compliance professionals to develop reporting, review data for potential issues, and communicate findings. The position helps turn examination and compliance needs into reliable, repeatable analysis for an SEC-registered investment adviser and FINRA-regulated broker-dealer.

The role develops reports, dashboards, analytical tools, and repeatable data-based tests; gathers, reconciles, and validates information from compliance, branch, examination, and other business systems; and analyzes results to identify unusual activity, recurring issues, trends, and potential compliance risks. It supports the branch examination lifecycle, including risk assessment, preparation, findings review, and remediation tracking, while contributing to other Compliance Department testing and reporting priorities as capacity allows.

The Compliance Officer uses SQL and tools such as Alteryx to analyze information and helps automate recurring work with Microsoft Power Automate and Power Apps. The role partners with compliance, examination, business, and technology teams to clarify needs, deliver practical reporting solutions, explain analytical results and limitations, document potential findings, and maintain documentation of data sources, definitions, report logic, and quality checks.

Requirements

• 2–4 years of experience in data analysis, reporting, business intelligence, compliance testing, audit, or a related role.
• Experience analyzing structured data and developing reports or other repeatable analytical outputs for business or compliance users.
• Working proficiency in SQL and hands-on experience with a reporting or data preparation tool such as Alteryx, Power BI, or a comparable platform.
• Foundational knowledge of investment adviser or broker-dealer compliance, supervision, audit, or examination practices, with the ability to learn applicable SEC, FINRA, and firm requirements.
• Ability to assess data for accuracy, investigate exceptions, identify meaningful patterns, and communicate results clearly to nontechnical audiences.
• Familiarity with Microsoft Power Automate and Power Apps and approved AI assistants such as ChatGPT, Claude, or Copilot, or the ability to learn them quickly and use them responsibly.
• U.S. citizenship, U.S. permanent residency, or other unrestricted U.S. work authorization; must not require sponsorship now or in the future.

Nice To Haves

• Experience in financial services is preferred.

Responsibilities

• Develop and maintain reports, dashboards, and analytical tools that support branch examination planning, data review, and risk identification.
• Gather, reconcile, and validate information from compliance, branch, examination, and other business systems.
• Analyze reporting results to identify unusual activity, recurring issues, trends, and potential compliance risks.
• Explain analytical results and their limitations, document potential findings, and present clear summaries to compliance leaders and examination partners.
• Support the branch examination lifecycle, including risk assessment, examination preparation, findings review, and remediation tracking.
• Build and perform repeatable data-based tests for branch examinations and related compliance reviews.
• Contribute to testing and reporting for other Compliance Department priorities as capacity allows.
• Use SQL and data preparation or reporting tools such as Alteryx to analyze information.
• Help automate recurring work with Microsoft Power Automate and Power Apps.
• Work with compliance, examination, business, and technology partners to clarify needs and deliver practical reporting solutions.
• Document data sources, definitions, report logic, and quality checks.

Benefits

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

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level
• Education Level: No Education Listed