Compliance Systems and Operations Associate

Hightower Advisors•Chicago, IL

13d•Hybrid

About The Position

Hightower’s Compliance Department strives to provide industry-leading support to the firm’s advisor teams. We are passionate about serving as collaborators within all facets of the organization and focus on developing processes and strategies that are effective for advisors, their clients, and other mid and back-office departments, while adhering to the spirit of the regulation. We are seeking a highly organized and detail-oriented Compliance Systems and Operations Associate to join our team. This position reports to the Director, Compliance and is predominantly self-directed and self-motivated. You will play a critical role in the management of the Compliance Department systems employee lifecycle management process, as well as in maintaining the integrity of our compliance systems. To be successful in this role, you must have a strong understanding of system management and administration as well as excellent communication and analytical skills.

Requirements

Meticulous attention to detail, motivated by excellence.
Bachelor's degree in a related field
2-3+ years of professional experience acting in a system administrator capacity.
Basic knowledge of the requirements of the Investment Advisors Act of 1940
Experience working within a registered investment advisor compliance department
Effective at prioritization of workload with competing priorities while producing high-quality work.
Ability to independently analyze issues and requirements with the critical process understanding of business practices and implications.
Highly responsive and proactive, able to own tasks from start to finish.
Ability to take initiative and work independently with minimal supervision, while being equally comfortable working collaboratively.
Strong organization and project management skills

Responsibilities

Serve as the subject matter technical expert and daily administrator of Compliance Department systems (e.g. MyComplianceOffice, Smarsh, etc.)
Initiate, develop and implement requirements when updates to systems are necessary.
Manage a queue of credential requests, employee account disclosures, and related support cases end-to-end, ensuring cases are acknowledged and handled within an appropriate timeframe and “managing up” within the Department as needed.
Analyze and identify issues and trends for improved process and controls.
Create and update internal and external documentation.
Develop and track improvement or remediation plans.
Maintain and create compliance desk procedures.
Interact with and support personnel at all levels of the Firm’s various business units.
Support the Compliance Department with various projects as required.
Foster a positive compliance culture

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
In-office Monday through Thursday and work from home on Fridays
Free brand-new gym in the Chicago office
401k matching plan
HSA employer contributions
Student loan assistance
Pet insurance