Compliance Officer- Office Exams

Colonial Group; Chicago (IL); Hybride; USD 66 000 - 110 000; Plein temps

Avantages offerts par ce poste

Health insurance

Parental leave

Mother's lounge

Flexible PTO

Hybrid schedule

On-site gym

401k matching

HSA contributions

Student loan assistance

Pet insurance

Résumé du poste

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.

Responsabilités

• 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.

Connaissances

SEC/FINRA compliance

Office examinations

Regulatory testing

Analytical thinking

Independent work

Description du poste

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 looking for an experienced Compliance Officer – Office Examinations. You will be a valued member of the Compliance Department, working with tenured professionals and reporting to the Executive Director of Compliance Review to ensure Hightower's goals and values are met and upheld. You will be a key contributor in the execution of a risk-based office examination program for an SEC-registered investment adviser and FINRA-regulated broker-dealer. You will support our supervisory and compliance framework by identifying regulatory risks, assessing adherence to SEC, FINRA, and internal policies, and contributing to the effectiveness of the firm's compliance program.

What You’ll Do

• Conduct routine and for-cause office examinations of branch offices, OSJs, and advisory locations, both onsite and remotely.
• Evaluate compliance with:
  • SEC regulations, including the Investment Advisers Act of 1940
  • FINRA rules, including supervision (Rule 3110) and communications
  • Applicable state regulations
  • Firm policies and written supervisory procedures (WSPs)
• Perform testing and review of key risk areas, including, but not limited to:
  • Sales practices and suitability
  • Advertising and communications
  • Books and records
  • Outside business activities (OBAs) and private securities transactions (PSTs)
  • Fee billing and advisory practices
  • Cybersecurity and safeguarding of client information
  • Adherence with Firm policies and procedures
• Escalate findings or potential violations to compliance leadership
• Document examination findings, risk impact assessment, and proposed remediation protocol.
• Prepare and distribute examination finding reports.
• Track remediation efforts and follow up with business partners to ensure timely resolution of identified issues.
• Maintain accurate book and records of examinations, findings reports, and supporting documentation.
• Help refine examination procedures, checklists, and risk-based methodologies.
• Identify trends or recurring issues and provide input to enhance policies, procedures, and training.
• Support regulatory examinations (SEC, FINRA, and state) by gathering documentation and responding to requests.

What You’ll Bring

• 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.
• Ability to independently analyze issues and requirements with the understanding of business practices.
• Responsive and proactive, able to work autonomously or collaboratively, depending on circumstances.

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
• In-office Monday through Thursday and work from home on Fridays
• Free brand-new gym in the Chicago office
• 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.