Compliance Systems & Operations Specialist - Hybrid

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

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.