Entry-Level Compliance Data & Reporting Analyst

Hightower Advisors; United States; On-site; USD 99,000 - 121,000; Full time

Benefits offered by this job

Medical, dental, vision coverage

Parental leave

Flexible PTO

401k matching

HSA contributions

Student loan assistance

Pet insurance

Discretionary bonus

Job summary

Hightower Advisors seeks a Compliance Data and Reporting Analyst to support the branch examination program and broader compliance testing for an SEC-registered investment adviser and FINRA-regulated broker-dealer. You will develop reports and dashboards, validate data, and communicate findings to compliance leaders.

This junior role collaborates with compliance, examination, business, and technology teams, using SQL, Alteryx, Power BI, Power Automate, and Power Apps to deliver reliable analyses

Qualifications

• 2–4 years of experience in data analysis, reporting, BI, compliance testing, audit, or a related role; experience in financial services is preferred.
• Experience analyzing structured data and developing reports or other repeatable analytical outputs for business or compliance users.
• Working proficiency in SQL and hands‑on experience with a reporting or data preparation tool such as Alteryx, Power BI, or a comparable platform.
• Foundational knowledge of investment adviser or broker‑dealer compliance, supervision, audit, or examination practices, with the ability to learn applicable SEC, FINRA, and firm requirements.
• Ability to assess data for accuracy, investigate exceptions, identify meaningful patterns, and communicate results clearly to nontechnical audiences.
• Familiarity with Microsoft Power Automate and Power Apps and approved AI assistants such as ChatGPT, Claude, or Copilot, or the ability to learn them quickly and use them responsibly.

Responsibilities

• Develop and maintain reports, dashboards, and analytical tools that support branch examination planning, data review, and risk identification.
• Gather, reconcile, and validate information from compliance, branch, examination, and other business systems.
• Analyze reporting results to identify unusual activity, recurring issues, trends, and potential compliance risks.
• Explain analytical results and their limitations, document potential findings, and present clear summaries to compliance leaders and examination partners.
• Support the branch examination lifecycle, including risk assessment, examination preparation, findings review, and remediation tracking.
• Build and perform repeatable data-based tests for branch examinations and related compliance reviews.
• Contribute to the development of testing and reporting for other Compliance Department priorities as capacity allows.
• Use SQL and data preparation or reporting tools such as Alteryx to analyze information, and help automate recurring work with Microsoft Power Automate and Power Apps.
• Work with compliance, examination, business, and technology partners to clarify needs, deliver practical reporting solutions, and document data sources, definitions, report logic, and quality checks.

Skills

SQL

Data analysis

Communication

Problem solving

Attention to detail

Compliance knowledge

Tools

Alteryx

Power BI

Power Automate

Power Apps

ChatGPT/Copilot familiarity

Job description

Hightower Advisors seeks a Compliance Data and Reporting Analyst to support the branch examination program and broader compliance testing for an SEC-registered investment adviser and FINRA-regulated broker-dealer. You will develop reports and dashboards, validate data, and communicate findings to compliance leaders.

This junior role collaborates with compliance, examination, business, and technology teams, using SQL, Alteryx, Power BI, Power Automate, and Power Apps to deliver reliable analyses