Senior Compliance Examiner – Office Examinations

Hightower; Oregon; Hybrid; USD 99,000 - 121,000; Full time

Benefits offered by this job

Medical, dental, and vision coverage

Parental leave

Flexible PTO

401k matching

HSA contributions

Student loan assistance

Pet insurance

Base salary up to $110,000 + bonus

Job summary

Hightower, a Chicago-based wealth management firm with advisors across the United States, seeks an experienced Compliance Officer - Office Examinations. You will be a key member of the Compliance Department, conducting risk-based examinations of branches and OSJs, onsite and remotely, to uphold regulatory standards.

You will evaluate SEC/FINRA compliance, supervise testing of controls, document findings, and lead remediation efforts with cross-functional partners.

Qualifications

• 3–5 years in compliance, supervision, audit, or related function within a broker-dealer or RIA.
• Working knowledge of SEC and FINRA regulations, particularly branch supervision and office inspection requirements.
• FINRA licenses (Series 7, 24, 65/66) preferred or willingness to obtain.
• Ability to independently analyze issues and requirements with understanding of business practices.

Responsibilities

• Conduct routine and for-cause office examinations of branch offices, OSJs, and advisory locations, onsite and remotely.
• Evaluate compliance with SEC regulations, FINRA rules, state regulations, and firm policies.
• Perform testing and review of key risk areas: sales, advertising, books and records, OBAs, PSTs, fee billing, cybersecurity.
• Escalate findings to compliance leadership and prepare examination finding reports.
• Track remediation efforts and ensure timely resolution with business partners.
• Maintain accurate books and records of examinations and supporting documentation.
• Support regulatory examinations by gathering documentation and responding to requests.

Skills

Compliance

Audit

Office examinations

Regulatory knowledge

FINRA rules

Licensing (Series)

Job description

Hightower, a Chicago-based wealth management firm with advisors across the United States, seeks an experienced Compliance Officer - Office Examinations. You will be a key member of the Compliance Department, conducting risk-based examinations of branches and OSJs, onsite and remotely, to uphold regulatory standards.

You will evaluate SEC/FINRA compliance, supervise testing of controls, document findings, and lead remediation efforts with cross-functional partners.