Compliance Systems and Operations Associate

HighTower Advisors; Chicago (IL); Hybrid; USD 80,000 - 90,000; Full time

Benefits offered by this job

Medical, dental, and vision coverage

Paid parental leave

Mother’s lounge onsite

Flexible PTO

In-office Mon-Thu, work from home on F

Brand-new gym in Chicago office

401k matching

HSA employer contributions

Student loan assistance

Job summary

Hightower Advisors in Chicago, IL seeks a Compliance Systems and Operations Associate. The role reports to the Director, Compliance and focuses on managing and administering Compliance Department systems while upholding regulatory standards.

The ideal candidate has a BA/related field and 2–3+ years in system administration, with familiarity in the Investment Advisers Act and a background in a registered advisor compliance team.

Qualifications

• Bachelor's degree in a related field and 2–3+ years in system administration.
• Understanding of Investment Advisers Act of 1940 basics.
• Experience in a registered investment advisor compliance department.
• Strong analytical and organizational skills.
• Ability to manage multiple tasks with minimal supervision.

Responsibilities

• Serve as the subject matter technical expert and daily administrator of Compliance Department systems (e.g. MyComplianceOffice, Smarsh, etc.)
• Initiate, develop and implement requirements when updates to systems are necessary.
• Manage a queue of credential requests, employee account disclosures, and related support cases end-to-end, ensuring cases are acknowledged and handled within an appropriate timeframe.
• Analyze and identify issues and trends for improved process and controls.
• Create and update internal and external documentation.
• Develop and track improvement or remediation plans.
• Maintain and create compliance desk procedures.
• Interact with and support personnel at all levels of the Firm’s various business units.
• Support the Compliance Department with various projects as required.
• Foster a positive compliance culture

Skills

Detail-oriented

System administration

Data analysis

Communications skills

Independent worker

Project coordination

Education

Bachelor's degree in related field

Tools

MyComplianceOffice

Smarsh

Job description

Compliance Systems and Operations Associate

Chicago, IL, USA

Job Description

Posted Wednesday, August 26, 2026 at 5:00 AM

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 industry-leading support to the firm’s advisor teams. We are passionate about serving as collaborators within all facets of the organization and focus on developing processes and strategies that are effective for advisors, their clients, and other mid and back-office departments, while adhering to the spirit of the regulation.

What You’ll Do

We are seeking a highly organized and detail-oriented Compliance Systems and Operations Associate to join our team. This position reports to the Director, Compliance and is predominantly self-directed and self-motivated. You will play a critical role in the management of the Compliance Department systems employee lifecycle management process, as well as in maintaining the integrity of our compliance systems. To be successful in this role, you must have a strong understanding of system management and administration as well as excellent communication and analytical skills.

• Serve as the subject matter technical expert and daily administrator of Compliance Department systems (e.g. MyComplianceOffice, Smarsh, etc.)
• Initiate, develop and implement requirements when updates to systems are necessary.
• Manage a queue of credential requests, employee account disclosures, and related support cases end-to-end, ensuring cases are acknowledged and handled within an appropriate timeframe and “managing up” within the Department as needed.
• Analyze and identify issues and trends for improved process and controls.
• Create and update internal and external documentation.
• Develop and track improvement or remediation plans.
• Maintain and create compliance desk procedures.
• Interact with and support personnel at all levels of the Firm’s various business units.
• Support the Compliance Department with various projects as required.
• Foster a positive compliance culture

What You’ll Bring

• Meticulous attention to detail, motivated by excellence.
• Bachelor's degree in a related field
• 2-3+ years of professional experience acting in a system administrator capacity.
• Basic knowledge of the requirements of the Investment Advisors Act of 1940
• Experience working within a registered investment advisor compliance department
• Effective at prioritization of workload with competing priorities while producing high-quality work.
• Ability to independently analyze issues and requirements with the critical process understanding of business practices and implications.
• Highly responsive and proactive, able to own tasks from start to finish.
• Ability to take initiative and work independently with minimal supervision, while being equally comfortable working collaboratively.
• Strong organization and project management skills

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
• Base salary of $80,000-$90,0000 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.