Compliance Systems and Operations Associate

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 financial vision. Based in Chicago with advisors across the U.S., we operate as a registered investment advisor (RIA).

Hightower’s Compliance Department strives to provide industry-leading support to the firm’s advisor teams. We are passionate about serving as collaborators within all facets of the organization and focus on developing processes and strategies that are effective for advisors, their clients, and other mid and back-office departments, while adhering to the spirit of the regulation.

We are seeking a highly organized and detail-oriented Compliance Systems and Operations Associate to join our team. This position reports to the Director, Compliance and is predominantly self-directed and self-motivated. You will play a critical role in the management of the Compliance Department systems employee lifecycle management process, as well as in maintaining the integrity of our compliance systems. To be successful in this role, you must have a strong understanding of system management and administration as well as excellent communication and analytical skills.

Serve as the subject matter technical expert and daily administrator of Compliance Department systems (e.g. MyComplianceOffice, Smarsh, etc.)

Initiate, develop and implement requirements when updates to systems are necessary.

Manage a queue of credential requests, employee account disclosures, and related support cases end-to-end, ensuring cases are acknowledged and handled within an appropriate timeframe and “managing up” within the Department as needed.