Compliance Officer – Office Exams

Job not on LinkedIn

🕒 4 days ago

🇺🇸 United States – Remote

💵 $110k / year

⏰ Full Time

🟡 Mid-level

🟠 Senior

🚔 Compliance

👻 Ghost score 0%

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Hightower Advisors

WebsiteLinkedInAll Job Openings

201 - 500 employees

Founded 2008

💸 Finance

💼 Consulting

💰 GROWTH EQUITY VC on 2020-12

Finance • Consulting

Hightower Advisors is a wealth management firm and registered investment advisor (RIA) that supports a community of independent financial advisors. The firm provides investment, financial and retirement planning services to individuals, foundations and family offices, and offers 401(k) consulting and corporate cash management services to corporations. Hightower also supplies capital solutions, operational support and scale to help independent advisors grow their businesses; it is based in Chicago with advisors across the U. S.

📋 Description

• Conduct routine and for-cause office examinations of branch offices, OSJs, and advisory locations, both onsite and remotely • Evaluate compliance with SEC regulations, including the Investment Advisers Act of 1940 • Evaluate compliance with FINRA rules, including supervision under Rule 3110 and communications • Evaluate compliance with applicable state regulations • Evaluate compliance with firm policies and written supervisory procedures (WSPs) • Perform testing and review of sales practices and suitability, advertising and communications, books and records, outside business activities and private securities transactions, fee billing and advisory practices, cybersecurity and safeguarding of client information, and firm policies and procedures • Escalate findings or potential violations to compliance leadership • Document examination findings, risk impact assessments, and proposed remediation protocols • Prepare and distribute examination finding reports • Track remediation efforts and follow up with business partners to ensure timely resolution • Maintain accurate examination books and records, findings reports, and supporting documentation • Help refine examination procedures, checklists, and risk-based methodologies • Identify trends or recurring issues and provide input to enhance policies, procedures, and training • Support SEC, FINRA, and state regulatory examinations by gathering documentation and responding to requests • Report to the Executive Director of Compliance Review

🎯 Requirements

• 3–5 years of experience in compliance, supervision, audit, or a related function within a broker-dealer or RIA • Working knowledge of SEC and FINRA regulations, particularly branch supervision and office inspection requirements • Experience conducting compliance testing, audits, or office examinations preferred • FINRA licenses (e.g., Series 7, 24, 65/66) preferred or willingness to obtain • Ability to independently analyze issues and requirements with the understanding of business practices • Responsive and proactive, able to work autonomously or collaboratively, depending on circumstances • U.S. citizen, U.S. permanent resident, or other unrestricted U.S. work authorization • Will not require sponsorship for U.S. work authorization now or anytime in the future

🏖️ Benefits

• 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) • Flexible PTO plan • 401k matching plan • HSA employer contributions • Student loan assistance • Pet insurance • Discretionary bonus

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