Compliance Officer - Office Examinations (Hybrid)

Colonial Group; Chicago (IL); Hybrid; USD 66,000 - 110,000; Full time

Benefits offered by this job

Health insurance

Parental leave

Mother's lounge

Flexible PTO

Hybrid schedule

On-site gym

401k matching

HSA contributions

Student loan assistance

Pet insurance

Job summary

Hightower, a Chicago-based wealth management firm, seeks an experienced Compliance Officer – Office Examinations to join its Compliance Department. You will conduct branch and OSJ examinations, evaluating adherence to SEC, FINRA, and state regulations while collaborating with tenured professionals.

You’ll test key risk areas such as sales practices, advertising, books and records, OBAs, PSTs, fees and cybersecurity.

Qualifications

• 3–5 years in compliance, supervision, audit, or related function within a broker-dealer or RIA.
• Working knowledge of SEC and FINRA regulations, particularly branch supervision and office inspections.
• FINRA licenses (e.g., Series 7, 24, 65/66) preferred or willingness to obtain.

Responsibilities

• Conduct routine and for-cause office examinations of branches, OSJs, and advisory locations, onsite and remote.
• Evaluate compliance with SEC rules, FINRA rules, state regulations, and firm policies.
• Perform testing of key risk areas including sales practices, advertising, books and records, OBAs, PSTs, fees, cybersecurity.
• Escalate findings to compliance leadership and prepare examination reports.
• Track remediation and ensure timely resolution with business partners.
• Maintain documentation of examinations and support procedures improvements.
• Identify trends and contribute to policy and training updates.
• Support regulatory examinations by gathering documents.

Skills

SEC/FINRA compliance

Office examinations

Regulatory testing

Analytical thinking

Independent work

Job description

Hightower, a Chicago-based wealth management firm, seeks an experienced Compliance Officer – Office Examinations to join its Compliance Department. You will conduct branch and OSJ examinations, evaluating adherence to SEC, FINRA, and state regulations while collaborating with tenured professionals.

You’ll test key risk areas such as sales practices, advertising, books and records, OBAs, PSTs, fees and cybersecurity.