Senior AML & Sanctions Compliance Specialist

Hightower Advisors; Chicago (IL); Hybrid; USD 90,000 - 100,000; Full time

Benefits offered by this job

Medical coverage

Dental & Vision

Parental leave

Hybrid schedule

Gym access

401(k) match

HSA contributions

Student loan assistance

Pet insurance

Salary range disclosed

Job summary

Hightower Advisors seeks a Senior Associate, AML Compliance in Chicago to administer the firm’s AML program for BD operations and oversee its sanctions program for RIA operations. You will support risk-based testing and regulatory inquiries, reporting to the Executive Director, Compliance.

The role requires knowledge of FINRA rules, BSA/AML, and a strong analytical mindset, with emphasis on accuracy and collaboration across departments. Hybrid schedule in Chicago office and remote on Fridays.

Qualifications

• Bachelor’s degree or equivalent professional experience.
• 3+ years of compliance experience, preferably with broker-dealer or RIA.
• Strong knowledge of FINRA Rules 3310, 3110, and 3120; BSA/AML regulations; and Investment Advisers Act requirements.
• Ability to articulate regulatory distinctions between BD and RIA requirements.
• Advanced Excel skills for data analysis and reconciliation.
• Experience using AML technology and screening tools.
• Excellent written and verbal communication skills.

Responsibilities

• Administer and enhance the BD’s AML program, including policies, procedures and controls.
• Oversee CIP, CDD, and EDD.
• Manage sanctions program including OFAC screening and SARs with FinCEN.
• Review transactions and surveillance outputs for broker-dealer activity.
• Prepare regulator-ready testing reports with findings and risk ratings.
• Track remediation and maintain testing documentation for regulatory review.

Skills

BSA/AML

Regulatory compliance

Excel proficiency

Data analysis

Regulatory reporting

Education

Bachelor’s degree

Tools

AML screening tools

Job description

Hightower Advisors seeks a Senior Associate, AML Compliance in Chicago to administer the firm’s AML program for BD operations and oversee its sanctions program for RIA operations. You will support risk-based testing and regulatory inquiries, reporting to the Executive Director, Compliance.

The role requires knowledge of FINRA rules, BSA/AML, and a strong analytical mindset, with emphasis on accuracy and collaboration across departments. Hybrid schedule in Chicago office and remote on Fridays.