Director, Compliance and Field Supervision

HighTower Advisors, LLC; Chicago (IL); Sur place; USD 150 000 - 160 000; Plein temps

Avantages offerts par ce poste

Medical, dental, vision insurance

Parental leave

Gym in office

401k matching

HSA employer contributions

Student loan assistance

Pet insurance

Flexible PTO

Résumé du poste

Hightower Advisors, LLC is seeking a Director of Compliance and Field Supervision to oversee the nationwide branch-office network from our Chicago base. You will lead the supervisory program, ensure adherence to SEC/FINRA rules, and collaborate with legal, risk, and technology teams to mitigate risk while maintaining service quality.

You bring 7+ years of compliance leadership, strong regulatory knowledge, and exceptional communication skills to educate and challenge business partners.

Qualifications

• Minimum seven years of compliance or supervisory experience with a registered investment adviser, broker-dealer, or dual-registered firm.
• Deep knowledge of SEC and FINRA requirements and their application in wealth management.
• Experience with branch-office supervision and compliance risk management.
• Ability to analyze regulatory and business issues and develop effective solutions.
• Strong leadership and cross-team collaboration skills.
• Excellent written and verbal communication capabilities.
• Collaborative approach to educating and challenging business partners.
• Sound judgment with escalation awareness.
• Strong organizational and process-improvement skills.
• Proactive, responsive, and independent working style.
• Proficiency with Microsoft Office and AI tools.

Responsabilités

• Direct and perform supervisory functions across the nationwide branch-office network.
• Help lead the supervisory program ensuring compliance with laws, regulations, and internal policies.
• Monitor regulatory developments and assess their impact on practices and controls.
• Provide guidance to advisors and staff on compliance requirements.
• Promote policy awareness through clear communication and education.
• Collaborate with business, operations, legal, risk, and technology to balance compliance and disruption.
• Identify and document compliance issues, risks, and trends.
• Recommend improvements to controls, policies, and monitoring activities.
• Utilize data and AI tools to strengthen risk identification and decision-making.
• Lead enterprise initiatives and maintain accountability from start to finish.
• Foster a culture of accountability and risk management.

Connaissances

Compliance leadership

SEC/FINRA regs

Supervisory controls

Regulatory risk management

Communication skills

Data/AI tools

Microsoft Office

Licenses (Series 7/24/9/10/63/65/66)

Outils

Microsoft Office

AI tools (ChatGPT, Claude, Copilot)

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 industry-leading support to the firm’s advisor practices. We collaborate across the organization to develop processes and strategies that serve advisors, clients, and Hightower’s middle- and back-office teams while adhering to the letter and spirit of applicable regulations.

The Director of Compliance and Field Supervision reports to the Head of Field Supervision and plays a leadership role in overseeing Hightower’s nationwide branch-office network. The successful candidate will bring extensive knowledge of registered investment adviser and broker-dealer regulations, strong judgment and communication skills, and the ability to independently identify risk, strengthen supervisory controls, and promote a positive culture of compliance.

What You’ll Do

• Direct and perform supervisory functions across Hightower’s nationwide branch-office network.
• Help lead the firm’s supervisory program, ensuring that advisor and branch activities comply with applicable laws, regulations, and internal policies and procedures.
• Monitor regulatory developments and assess their impact on business practices, supervisory processes, and the firm’s control framework.
• Provide practical guidance to advisors, advisor staff, and business leaders regarding registered investment adviser and broker-dealer compliance requirements.
• Promote awareness of policies and procedures through clear, proactive communication and education.
• Partner with business, operations, legal, risk, and technology teams to achieve appropriate compliance outcomes while minimizing unnecessary disruption to advisors and clients.
• Identify, analyze, document, and expedite compliance issues, emerging risks, and recurring trends using sound judgment and independent decision-making.
• Recommend and implement improvements to supervisory controls, policies, procedures, monitoring activities, and related workflows.
• Use data, technology, and artificial intelligence tools to strengthen risk identification, decision-making, efficiency, and supervisory effectiveness.
• Lead or support departmental and enterprise-wide initiatives, establishing priorities, coordinating deliverables, and maintaining accountability from initiation through completion.
• Foster a compliance culture grounded in accountability, collaboration, responsiveness, and sound risk management.

What You’ll Bring

• At least seven years of progressively responsible compliance or supervisory experience with a registered investment adviser, broker-dealer, or dually registered financial-services firm.
• Deep knowledge of SEC and FINRA requirements and their application within a complex wealth-management business.
• Significant experience with branch-office supervision, supervisory controls, and compliance risk management.
• Demonstrated ability to analyze complex regulatory and business issues, assess their practical implications, and develop effective solutions.
• Strong leadership and influencing skills, with the ability to work effectively across teams and levels of authority.
• Exceptional critical thinking, written communication, and verbal communication skills.
• A collaborative and practical approach to compliance, including the ability to educate, advise, and appropriately challenge business partners.
• Sound judgment and decision-making skills, including the ability to recognize when matters require escalation.
• Strong organizational, project-management, and process-improvement skills, with the ability to prioritize competing responsibilities and deliver accurate, high-quality work on time.
• A proactive, responsive, and accountable working style, with the ability to operate independently and collaborate effectively.
• Proficiency with Microsoft Office applications and artificial intelligence tools such as ChatGPT, Claude, and Microsoft Copilot.
• Active Series 7, 24, 9/10, and 63 and 65 or 66 securities licenses.
• Active Life, Health, and Variable Annuity licenses required.
• Serve as the Supervisory Principal for the Chicago Office (OSJ).

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 $150,000-$160,000 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.