Work experience in the same field for at least 120 months is a necessary requirement for this job. Although the job is based in Chicago, it is a remote position that allows you to work from any location as long as you can meet your objectives. The Director of Compliance and Field Supervision job listing was made available on January 4, 2024, and it will no longer be accessible after April 3, 2024. You can negotiate your salary with the employer since the salary is not exposed. Is full time work something that interests you?
Founded in 2008, Hightower is a wealth management firm that provides investment, financial and retirement planning services to individuals, foundations and family offices, as well as 401(k) consulting and cash management services to corporations. Hightower’s capital solutions, operational support services, size and scale empower its vibrant community of independent-minded wealth advisors to grow their businesses and help their clients achieve their vision of “well-th. rebalanced.” Based in Chicago with advisors across the U.S., we operate as a registered investment advisor (RIA).
Our commitment to our culture is demonstrated every day through the Hightower Way. By joining Hightower, you will build a community of inclusive relationships, take proactive ownership, embrace others’ perspectives, and have an uncompromising dedication to excellence.
Your Future Team
Hightower’s Compliance Department strives to provide industry-leading support to our advisor teams. We are passionate about serving as collaborators within all facets of the organization and focus on developing strategies that are effective for advisors, their clients, and other mid and back-office departments, while observing the spirit of the regulation.
What You’ll Do
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We are seeking a self-motivated Director of Compliance & Field Supervision who is a multi-tasker at heart, with strong communication skills and a problem-solving mindset that thrives in a fast-paced and evolving organization. The successful candidate will be a valued member of the Department, working alongside tenured professionals to ensure the firm’s and Department’s goals, mission and values are consistently met and upheld. Our ideal candidate is a strong team member with a willingness to learn and consistently performs at a high level under variable workloads.
This position is predominantly self-directed and self-motivated, you will report to the firm’s Head of Supervision. You will be responsible for daily management and review of the investment advisor and broker-dealer branch offices. The oversight seeks to ensure compliance with applicable rules and regulations governing the firm, and in adherence to SEC and FINRA rules and regulations.
- Responsible for various supervisory functions of nationwide branch offices
- Monitor the requirements of and compliance with applicable rules, regulations, and internal policies and procedures
- Help improve overall supervisory program to ensure that activities satisfy all pertinent legal, regulatory, and Firm requirements
- Promotes awareness and compliance with procedures through proactive communication with advisors and advisor staff
- Work in partnership with advisors and advisor staff
- Use resources and work in collaboration with other corporate departments.
- Foster a culture of compliance by promoting awareness and understanding of regulatory requirements
- Serve as a Hightower brand ambassador by upholding The Hightower Way cultural elements – Mission, Purpose, V.A.L.U.E. Experience, Commitment and Standards, promoting excellence in the internal and external client experience during every encounter
- Improve consistency in everyclient and colleague encounter by embodying the core principles of our Hightower V.A.L.U.E. Experience (Validate, Actively Listen, Leverage Resources, Understand Ownership, Express Gratitude)
What You’ll Bring
- 7-10 years compliance experience working for a registered investment advisor, or combination of experience with a registered investment advisor and broker dealer
- Licensing Series 7, 65, 66, 24 required and Series 9/10 also preferred
- Bachelor’s degree or equivalent experience
- Deep knowledge in SEC and FINRA regulatory requirements as it relates to registered investment advisors and broker-dealer compliance and supervision
- Specific Expertise in Marketing Performance review in adherence to the new SEC Marketing Rule
- Excellent communication skills: ability to educate and not dictate
- Ability to independently analyze issues and requirements with the critical process understanding of business practices and implications, and assist with the continued refinement of a supervisory control framework
- Strong organization and project management skills and ability to balance multiple contending priorities
- Interpersonal skills to build strong relationships and collaborate with key colleagues and stakeholders
- Highly responsive and proactive, able to own tasks from start to finish. Able to take initiative and work independently with minimal supervision, while being equally comfortable working collaboratively
- Effective at prioritization of workload with competing priorities and producing high quality work
- Advanced skills in Office and related applications (PowerPoint, Word, Excel, Adobe, etc.)
- Solid organizational skills and an ability to effectively prioritize in a dynamic environment
- Drive and commitment
- Strong written and verbal communication skills
- This position is remote, but West Coast, Mountain Time, or Midwest time zone preferred
What We Offer
AN EQUAL OPPORTUNITY EMPLOYER:
- 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
- We commit to a transparent, people-first environment where talent is maximized through our diverse, equitable and inclusive community
- We nurture a spirit of belonging, are energized by challenges, celebrate our successes, and achieve individual and collective well-th goals
Hightower is an equal opportunity employer and does not discriminate based upon race, color, religion, sex, sexual orientation, pregnancy, marital status, national origin, citizenship, veteran status, ancestry, age (over 40), physical or mental disability, medical condition (cancer-related), gender identity or expression, genetic information including sickle cell or hemoglobin C trait, or any other consideration made unlawful by applicable federal, state, or local law.
You are a U.S. citizen, U.S. permanent resident or possess other unrestricted U.S. work authorization and will not require sponsorship for U.S. work authorization now or anytime in the future.
After giving this job vacancy a careful look, it's time to make a decision. Have you read it thoroughly? We encourage individuals who have carefully reviewed this job posting and feel that they are the right fit to apply for this job. Remember that recruiters receive a high volume of applications - taking the time to submit an accurate and thoughtful application could help you stand out. If you have any doubts about your ability to fulfill the responsibilities, please consider if this job is the right fit for you.