Compliance Officer – Office Exams

Job not on LinkedIn

🔥 5 minutes ago

🇺🇸 United States – Remote

💵 $110k / year

⏰ Full Time

🟡 Mid-level

🟠 Senior

🚔 Compliance

👻 Ghost score 0%

What it means: the chance that no one is really hiring for this job.How to read it: 60% or higher means we think this is a ghost. Lower scores are less of a worry.How we score it: age, reposts, open roles vs team size, how fast jobs close, and whether pay is listed.Fine print: an estimate from public data, not a judgment of the company. Real jobs can score high, so treat it as a hint, not a fact.

Apply Now

Find Similar Remote Jobs

Hightower

WebsiteLinkedInAll Job Openings

51 - 200 employees

Founded 2003

🏭 Manufacturing

🤝 B2B

🛍️ eCommerce

Manufacturing • B2B • eCommerce

Hightower is a family-founded, women-owned commercial furniture brand and design house that designs, sources and sells seating, tables, storage and outdoor furniture for work, education and hospitality environments. The company offers an online catalog and quoting system, downloadable product resources (CAD/Revit/SketchUp), project support for dealers/design firms/end users, and emphasizes sustainability and social impact (Certified B Corp, responsibly made, inclusive products). Hightower distributes its own Hightower Studio line alongside curated global design partners and operates showrooms and sales support for project-based procurement.

📋 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

📊 Check your resume score for this job

Improve your chances of getting an interview by checking your resume score before you apply.

Upload Resume