National Director, Compliance & 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

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.