Our Story
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).
Your Future Team
Hightower’s Compliance Department strives to provide industry-leading support to the firm’s advisor practices. We collaborate across the organization to develop processes and strategies that serve advisors, clients, and Hightower’s middle- and back-office teams while adhering to the letter and spirit of applicable regulations.
The Director of Compliance and Field Supervision reports to the Head of Field Supervision and plays a leadership role in overseeing Hightower’s nationwide branch-office network. The successful candidate will bring extensive knowledge of registered investment adviser and broker-dealer regulations, strong judgment and communication skills, and the ability to independently identify risk, strengthen supervisory controls, and promote a positive culture of compliance.
What You’ll Do
Direct and perform supervisory functions across Hightower’s nationwide branch-office network.
Help lead the firm’s supervisory program, ensuring that advisor and branch activities comply with applicable laws, regulations, and internal policies and procedures.
Monitor regulatory developments and assess their impact on business practices, supervisory processes, and the firm’s control framework.
Provide practical guidance to advisors, advisor staff, and business leaders regarding registered investment adviser and broker-dealer compliance requirements.
Promote awareness of policies and procedures through clear, proactive communication and education.
Partner with business, operations, legal, risk, and technology teams to achieve appropriate compliance outcomes while minimizing unnecessary disruption to advisors and clients.
Identify, analyze, document, and escalate compliance issues, emerging risks, and recurring trends using sound judgment and independent decision-making.
Recommend and implement improvements to supervisory controls, policies, procedures, monitoring activities, and related workflows.
Use data, technology, and artificial intelligence tools to strengthen risk identification, decision-making, efficiency, and supervisory effectiveness.
Lead or support departmental and enterprise-wide initiatives, establishing priorities, coordinating deliverables, and maintaining accountability from initiation through completion.
Foster a compliance culture grounded in accountability, collaboration, responsiveness, and sound risk management.
What You’ll Bring
At least seven years of progressively responsible compliance or supervisory experience with a registered investment adviser, broker-dealer, or dually registered financial-services firm.
Deep knowledge of SEC and FINRA requirements and their application within a complex wealth-management business.
Significant experience with branch-office supervision, supervisory controls, and compliance risk management.
Demonstrated ability to analyze complex regulatory and business issues, assess their practical implications, and develop effective solutions.
Strong leadership and influencing skills, with the ability to work effectively across teams and levels of authority.
Exceptional critical thinking, written communication, and verbal communication skills.
A collaborative and practical approach to compliance, including the ability to educate, advise, and appropriately challenge business partners.
Sound judgment and decision-making skills, including the ability to recognize when matters require escalation.
Strong…