Director, Compliance and Field Supervision

Hightower Advisors; Chicago (IL); Hybrid; USD 150,000 - 160,000; Full time

Benefits offered by this job

Medical, dental, and vision insurance

Parental leave

Mother’s lounge onsite

Flexible PTO

Hybrid work: Mon-Thu in office, Fri Wf

Gym in Chicago office

401k matching

HSA contributions

Student loan assistance

Pet insurance

Job summary

Hightower Advisors in Chicago seeks a Director of Compliance and Field Supervision to oversee nationwide branch‑office supervision. The role requires deep regulatory knowledge, strong judgment, and the ability to elevate risk controls while supporting business growth and client service.

You will lead the compliance program, collaborate with legal, risk, and technology teams, and drive proactive risk management across the advisory network.

Qualifications

• Extensive SEC/FINRA regulatory knowledge.
• Active securities licenses and insurance licenses.

Responsibilities

• Direct supervisory functions across nationwide branch network.
• Lead the firm’s supervisory program ensuring compliance with laws and internal policies.
• Monitor regulatory developments and assess their impact on business practices.
• Provide practical guidance to advisors and staff on compliance requirements.
• Promote awareness of policies and procedures through clear communication and education.
• Identify, analyze, and escalate compliance issues and emerging risks.

Skills

Compliance experience

Leadership skills

Regulatory knowledge

Communication skills

Risk management

Team collaboration

Tools

Microsoft Office

ChatGPT

Claude

Microsoft Copilot

Job description

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).

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 **escalate** 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.