Compliance Officer-Data Analytics & Reporting

Hightower•Chicago, IL

21h•Hybrid

About The Position

Hightower is seeking a junior-level Compliance Officer to support its branch examination program and broader compliance testing efforts. The role works with experienced compliance professionals to develop useful reporting, review data for potential issues, and communicate findings. It helps turn examination and compliance needs into reliable, repeatable analysis for an SEC-registered investment adviser and FINRA-regulated broker-dealer. The position develops reports, dashboards, analytical tools, and repeatable data-based tests for branch examinations and related compliance reviews. It gathers, reconciles, and validates information from compliance, branch, examination, and other business systems; analyzes results for unusual activity, recurring issues, trends, and potential risks; and documents and presents findings and limitations. The role also supports examination planning, preparation, findings review, and remediation tracking, and may contribute to reporting and testing for other Compliance Department priorities. The officer uses SQL and data preparation or reporting tools such as Alteryx, and helps automate recurring work with Microsoft Power Automate and Power Apps. The role collaborates with compliance, examination, business, and technology partners to clarify needs, deliver practical reporting solutions, and document 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, and 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 ability to learn them quickly and use them responsibly.
Must be a U.S. citizen, U.S. permanent resident, or possess other unrestricted U.S. work authorization, and must not require sponsorship for U.S. work authorization now or in the future.

Nice To Haves

Experience in financial services.

Responsibilities

Develop and maintain reports, dashboards, and analytical tools supporting 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, and 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 beginning on the first day of employment.
Paid parental leave: 16 weeks for a primary caregiver and 8 weeks for a secondary caregiver.
Onsite mother's lounge.
Flexible PTO plan.
In-office Monday through Thursday and work from home on Fridays.
Free new gym in the Chicago office.
401(k) matching plan.
HSA employer contributions.
Student loan assistance.
Pet insurance.