Compliance Systems & Operations Specialist

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

Benefits offered by this job

Health insurance

Parental leave

Gym in Chicago office

401k matching

HSA employer contributions

Student loan assistance

Pet insurance

Job summary

Hightower is seeking a Compliance Systems and Operations Associate in Chicago. The role focuses on managing Compliance Department systems, ensuring data integrity, and driving process improvements.

You will be the daily administrator for tools like MyComplianceOffice and Smarsh, coordinating system updates and user support. The position requires 2–3+ years in system administration within a registered IA compliance setting, a related bachelor's degree, and strong analytical, communication, and

Qualifications

• Bachelor's degree in a related field.
• 2–3+ years in a system administrator capacity.
• Basic knowledge of the Investment Advisers Act of 1940.
• Experience in a registered investment advisor compliance department.
• Strong prioritization and ability to manage multiple tasks.
• Ability to analyze issues and requirements independently.
• Proactive, responsive, and able to own tasks from start to finish.

Responsibilities

• Serve as the subject matter expert and daily administrator of Compliance Department systems (e.g. MyComplianceOffice, Smarsh).
• Initiate, develop and implement system update requirements.
• Manage credential requests, employee account disclosures, and related support cases end-to-end.
• Analyze issues and trends for improved processes and controls.
• Create and update internal and external documentation.
• Develop and track improvement or remediation plans.
• Maintain compliance desk procedures.
• Interact with and support personnel across business units.
• Support the Compliance Department with various projects as required.
• Foster a positive compliance culture.

Skills

Meticulous attention to detail

Bachelor's degree

System administrator

Investment Advisers Act knowledge

IA compliance experience

Prioritization

Analytical thinking

Independent work

Project management

Education

Bachelor's degree in a related field

Job description

Hightower is seeking a Compliance Systems and Operations Associate in Chicago. The role focuses on managing Compliance Department systems, ensuring data integrity, and driving process improvements.

You will be the daily administrator for tools like MyComplianceOffice and Smarsh, coordinating system updates and user support. The position requires 2–3+ years in system administration within a registered IA compliance setting, a related bachelor's degree, and strong analytical, communication, and