Compliance Officer – Office Examinations (SEC/FINRA)

HighTower Advisors, LLC; Chicago (IL); On-site; USD 99,000 - 121,000; Full time

Benefits offered by this job

Medical, dental, vision insurance

Parental leave

Flexible PTO

401k matching

HSA employer contributions

Student loan assistance

Pet insurance

Base salary up to $110,000 plus bonus

Job summary

HighTower Advisors, LLC seeks an experienced Compliance Officer for Office Examinations to join our Compliance Department. You will work with tenured professionals and report to the Executive Director of Compliance Review to support our SEC-registered investment adviser and FINRA-regulated broker-dealer framework.

You will conduct routine and for-cause examinations of branches, evaluate adherence to SEC, FINRA, and internal policies, and contribute to risk-based methodologies that enhance our

Qualifications

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

Responsibilities

• Conduct routine and for-cause office examinations of branch offices, OSJs, and advisory locations, both onsite and remotely.
• Evaluate compliance with SEC regulations, FINRA rules, state regulations, and firm policies.

Skills

Regulatory knowledge

Office examinations

Compliance testing

FINRA licenses

Analytical thinking

Collaboration

Job description

HighTower Advisors, LLC seeks an experienced Compliance Officer for Office Examinations to join our Compliance Department. You will work with tenured professionals and report to the Executive Director of Compliance Review to support our SEC-registered investment adviser and FINRA-regulated broker-dealer framework.

You will conduct routine and for-cause examinations of branches, evaluate adherence to SEC, FINRA, and internal policies, and contribute to risk-based methodologies that enhance our