Job Description
Our Story
Founded in 2008, Hightower is a wealth management firm that provides investment, financial and retirement planning services to individuals, foundations and family offices, as well as 401(k) consulting and cash management services to corporations. Hightower’s capital solutions, operational support services, size and scale empower its vibrant community of independent-minded wealth advisors to grow their businesses and help their clients achieve their vision of “well-th. rebalanced.” Based in Chicago with advisors across the U.S., we operate as a registered investment advisor (RIA).
Your Future Team
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.
What You’ll Do
This position is predominantly self-directed and self-motivated, receiving occasional direction and oversight from the firm’s Executive Director, Compliance who will delegate oversight and instruction as necessary to other members within the Department.
• Partner with cross-disciplined team members to support collaboration and promote a positive client experience.
• Manage the Compliance Department’s component of employee onboarding and offboarding.
• Process FINRA U-4 and U-5 filings for the registered investment advisor and the broker dealer.
• Maintain the Firm and producer insurance licenses and allocate invoices.
• Review, approve and maintain various employee disclosures (social media accounts, brokerage accounts, etc.).
• Coordinate and fulfill requests for exam study materials, opens exam windows, etc.
• Handle a queue of Compliance support cases
• Manage the Department Case process to ensure cases are acknowledged and handled within an appropriate time, assisting with Department responses as needed.
• Maintain and create compliance desk procedures.
• Support onboarding of new advisor teams.
• Assist the Compliance Department with various projects as required.
What You’ll Bring
• Strong verbal and written communication skills
• Execution driven with attention to detail
• Ability to interact with clients and personnel at various levels and business units of the organization.
• Experience working for a registered investment advisor and/or broker-dealer.
• Proficient in the use of MS Office applications.
• Three or more years of experience in a professional office environment.
• Foundational understanding of SEC and FINRA rules and regulations
• Series 7 securities license, or able to obtain within 12 months of hire.
• Broker dealer operations experience is a plus
What We Offer
• 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
• Hybrid model work schedule (50% in office)
• Free brand-new gym in the Chicago office
• 401k matching plan
• HSA employer contributions
• Student loan assistance
• Pet insurance
AN EQUAL OPPORTUNITY EMPLOYER: Hightower is an equal opportunity employer and does not discriminate based upon race, color, religion, sex, ****** orientation, pregnancy, marital status, national origin, citizenship, veteran status, ancestry, age (over 40), physical or mental disability, medical condition (cancer-related), gender identity or expression, genetic information including sickle cell or hemoglobin C trait, or any other consideration made unlawful by applicable federal, state, or local law.
You are a U.S. citizen, U.S. permanent resident or possess other unrestricted U.S. work authorization and will not require sponsorship for U.S. work authorization now or anytime in the future.
Founded in 2008, Hightower is a wealth management firm that provides investment, financial and retirement planning services to individuals, foundations and family offices, as well as 401(k) consulting and cash management services to corporations. Hightower’s capital solutions, operational support services, size and scale empower its vibrant community of independent-minded wealth advisors to grow their businesses and help their clients achieve their vision of “well-th. rebalanced.” Based in Chicago with advisors across the U.S., we operate as a registered investment advisor (RIA).
Your Future Team
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.
What You’ll Do
This position is predominantly self-directed and self-motivated, receiving occasional direction and oversight from the firm’s Executive Director, Compliance who will delegate oversight and instruction as necessary to other members within the Department.
• Partner with cross-disciplined team members to support collaboration and promote a positive client experience.
• Manage the Compliance Department’s component of employee onboarding and offboarding.
• Process FINRA U-4 and U-5 filings for the registered investment advisor and the broker dealer.
• Maintain the Firm and producer insurance licenses and allocate invoices.
• Review, approve and maintain various employee disclosures (social media accounts, brokerage accounts, etc.).
• Coordinate and fulfill requests for exam study materials, opens exam windows, etc.
• Handle a queue of Compliance support cases
• Manage the Department Case process to ensure cases are acknowledged and handled within an appropriate time, assisting with Department responses as needed.
• Maintain and create compliance desk procedures.
• Support onboarding of new advisor teams.
• Assist the Compliance Department with various projects as required.
What You’ll Bring
• Strong verbal and written communication skills
• Execution driven with attention to detail
• Ability to interact with clients and personnel at various levels and business units of the organization.
• Experience working for a registered investment advisor and/or broker-dealer.
• Proficient in the use of MS Office applications.
• Three or more years of experience in a professional office environment.
• Foundational understanding of SEC and FINRA rules and regulations
• Series 7 securities license, or able to obtain within 12 months of hire.
• Broker dealer operations experience is a plus
What We Offer
• 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
• Hybrid model work schedule (50% in office)
• Free brand-new gym in the Chicago office
• 401k matching plan
• HSA employer contributions
• Student loan assistance
• Pet insurance
AN EQUAL OPPORTUNITY EMPLOYER: Hightower is an equal opportunity employer and does not discriminate based upon race, color, religion, sex, ****** orientation, pregnancy, marital status, national origin, citizenship, veteran status, ancestry, age (over 40), physical or mental disability, medical condition (cancer-related), gender identity or expression, genetic information including sickle cell or hemoglobin C trait, or any other consideration made unlawful by applicable federal, state, or local law.
You are a U.S. citizen, U.S. permanent resident or possess other unrestricted U.S. work authorization and will not require sponsorship for U.S. work authorization now or anytime in the future.
💡 Quick Summary
Seeking a career-building opportunity? The Compliance Specialist position is now open for candidates interested in the Helper Jobs sector. This role in Chicago offers a professional environment and growth potential.
Requirement Snapshot: Candidates should possess basic communication skills, a proactive attitude, and the ability to work in a team. Experience in Helper Jobs is a plus.