Compliance Officer-Data Analytics & Reporting

Hightower Advisors; United States; On-site; USD 99,000 - 121,000; Full time

Benefits offered by this job

Medical, dental, vision coverage

Parental leave

Flexible PTO

401k matching

HSA contributions

Student loan assistance

Pet insurance

Discretionary bonus

Job summary

Hightower Advisors seeks a Compliance Data and Reporting Analyst to support the branch examination program and broader compliance testing for an SEC-registered investment adviser and FINRA-regulated broker-dealer. You will develop reports and dashboards, validate data, and communicate findings to compliance leaders.

This junior role collaborates with compliance, examination, business, and technology teams, using SQL, Alteryx, Power BI, Power Automate, and Power Apps to deliver reliable analyses

Qualifications

• 2–4 years of experience in data analysis, reporting, BI, compliance testing, audit, or a related role; experience in financial services is preferred.
• 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.

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 the development of 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, deliver practical reporting solutions, and document data sources, definitions, report logic, and quality checks.

Skills

SQL

Data analysis

Communication

Problem solving

Attention to detail

Compliance knowledge

Tools

Alteryx

Power BI

Power Automate

Power Apps

ChatGPT/Copilot familiarity

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 financial vision. Based in Chicago with advisors across the U.S., we operate as a registered investment advisor (RIA).

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 financial vision. 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 support to our advisor teams. We are passionate about serving as collaborators within all facets of the organization. We focus on developing strategies that are for advisors, their clients, and other mid and back-office departments. We do this while observing the spirit of the regulation.

We are seeking a Compliance Officer, Compliance Data and Reporting to support Hightower's branch examination program and broader compliance testing efforts. This junior-level role will work with experienced compliance professionals to develop useful reporting, review data for potential issues, and communicate findings. The analyst will help turn examination and compliance needs into reliable, repeatable analysis for an SEC-registered investment adviser and FINRA-regulated broker-dealer.

What You'll Do

• 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 the development of 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, deliver practical reporting solutions, and document data sources, definitions, report logic, and quality checks.

What You'll Bring

• 2–4 years of experience in data analysis, reporting, business intelligence, compliance testing, audit, or a related role; experience in financial services is preferred.
• 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.

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)
• Flexible PTO plan
• 401k matching plan
• HSA employer contributions
• Student loan assistance
• Pet insurance
• Base salary of up to $110,000 plus discretionary bonus (exact base salary amount will be dependent on experience)

AN EQUAL OPPORTUNITY EMPLOYER:

Hightower is an equal opportunity employer and does not discriminate based upon race, color, religion, sex, sexual 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.