Compliance Director Jobs

About The Position

Requirements

• At least seven years of progressively responsible compliance or supervisory experience with a registered investment adviser, broker-dealer, or dually registered financial-services firm.
• Deep knowledge of SEC and FINRA requirements and their application within a complex wealth-management business.
• Significant experience with branch-office supervision, supervisory controls, and compliance risk management.
• Ability to analyze complex regulatory and business issues, assess practical implications, and develop effective solutions.
• Strong leadership and influencing skills, with the ability to work effectively across teams and levels of authority.
• Exceptional critical-thinking, written-communication, and verbal-communication skills.
• Collaborative and practical approach to compliance, including the ability to educate, advise, and appropriately challenge business partners.
• Sound judgment and decision-making skills, including the ability to recognize when matters require escalation.
• Strong organizational, project-management, and process-improvement skills, including the ability to prioritize competing responsibilities and deliver accurate, high-quality work on time.
• Proactive, responsive, and accountable working style, with the ability to operate independently and collaborate effectively.
• Proficiency with Microsoft Office applications and artificial intelligence tools such as ChatGPT, Claude, and Microsoft Copilot.
• Active Series 7, 24, 9/10, and 63 and 65 or 66 securities licenses.
• Active Life, Health, and Variable Annuity licenses.
• Unrestricted U.S. work authorization and no need for U.S. work-authorization sponsorship now or in the future.

Responsibilities

• Direct and perform supervisory functions across Hightower’s nationwide branch-office network.
• Help lead the firm’s supervisory program and ensure advisor and branch activities comply with applicable laws, regulations, and internal policies and procedures.
• Monitor regulatory developments and assess their impact on business practices, supervisory processes, and the firm’s control framework.
• Provide practical guidance to advisors, advisor staff, and business leaders on registered investment adviser and broker-dealer compliance requirements.
• Promote awareness of policies and procedures through clear, proactive communication and education.
• Partner with business, operations, legal, risk, and technology teams to achieve appropriate compliance outcomes while minimizing unnecessary disruption to advisors and clients.
• Identify, analyze, document, and escalate compliance issues, emerging risks, and recurring trends using sound judgment and independent decision-making.
• Recommend and implement improvements to supervisory controls, policies, procedures, monitoring activities, and related workflows.
• Use data, technology, and artificial intelligence tools to strengthen risk identification, decision-making, efficiency, and supervisory effectiveness.
• Lead or support departmental and enterprise-wide initiatives, set priorities, coordinate deliverables, and maintain accountability through completion.
• Foster a compliance culture grounded in accountability, collaboration, responsiveness, and sound risk management.
• Serve as the Supervisory Principal for the Chicago Office (OSJ).

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.
• Free, brand-new gym in the Chicago office.
• 401(k) matching plan.
• HSA employer contributions.
• Student loan assistance.
• Pet insurance.