Compliance Officer – Office Examinations (Hybrid)

Hightower Advisors; Chicago (IL); Hybrid; USD 66,000 - 110,000; Full time

Benefits offered by this job

Medical, dental, vision insurance on 1

Parental leave

Mother's lounge onsite

Flexible PTO

Hybrid schedule: in-office Mon-Thu, W 

Brand-new gym in Chicago office

401k matching

HSA employer contributions

Student loan assistance

Pet insurance

Job summary

Hightower Advisors is seeking an experienced Compliance Officer – Office Examinations in Chicago. You will lead examinations of branch offices and OSJs, assess regulatory adherence, and collaborate with Compliance leadership to strengthen risk controls.

The role demands analytical rigor and experience with SEC/FINRA supervision, with license requirements preferred. The position offers a base salary up to $110,000 plus discretionary bonus, a hybrid work arrangement, and comprehensive benefits.

Qualifications

• Understanding SEC and FINRA regulations and branch supervision
• Experience performing compliance testing and office examinations
• Familiarity with broker‑dealer and registered investment adviser environments
• FINRA licenses (Series 7, 24, 65/66) preferred or willingness to obtain
• Strong analytical and independent decision-making abilities

Responsibilities

• Conduct routine and for-cause examinations of branches and advisory locations, onsite and remote.
• Evaluate compliance with SEC, FINRA, and state regulations and firm policies.
• Perform testing of risk areas: sales practices, advertising, records, OBAs, PSTs, billing, and cybersecurity.
• Escalate findings and prepare examination reports with remediation plans.
• Track remediation and maintain thorough examination documentation.

Skills

SEC/FINRA regs knowledge

Office examinations

Broker-dealer/RIA experience

Licenses preferred

Analytical thinking

Job description

Hightower Advisors is seeking an experienced Compliance Officer – Office Examinations in Chicago. You will lead examinations of branch offices and OSJs, assess regulatory adherence, and collaborate with Compliance leadership to strengthen risk controls.

The role demands analytical rigor and experience with SEC/FINRA supervision, with license requirements preferred. The position offers a base salary up to $110,000 plus discretionary bonus, a hybrid work arrangement, and comprehensive benefits.