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Senior Field Supervision Specialist

1 month ago

Chicago, Illinois, United States HighTower Full time
About the Role

We are seeking a highly skilled and motivated Compliance Officer to join our Field Supervision team. As a key member of our Compliance Department, you will be responsible for ensuring that our firm's advisors and employees comply with all relevant regulations and laws.

Key Responsibilities:

  • Review and approve employee disclosures and maintain accurate records
  • Manage a queue of employee requests and support cases, ensuring timely and effective resolution
  • Analyze and identify issues and trends to improve processes and controls
  • Develop and track improvement and/or remediation plans
  • Maintain and create compliance desk procedures
  • Interact with and support personnel at all levels of the firm's business units

Requirements:

  • Meticulous attention to detail and motivated by excellence
  • Exceptional critical thinking and communication skills
  • 3+ years of professional experience in operations and/or compliance working for a registered investment advisor and/or broker-dealer
  • Effective at prioritization of workload with competing priorities while producing high-quality work
  • Ability to independently analyze issues and requirements with critical process understanding of business practices and implications

What We Offer:

  • 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)
  • Mother's lounge onsite
  • Flexible PTO plan
  • Hybrid model work schedule (minimum 50% in office)
  • Free brand-new gym in the Chicago office
  • 401k matching plan
  • HSA employer contributions
  • Student loan assistance
  • Pet insurance

Hightower is an Equal Opportunity Employer:

We are committed to creating a diverse and inclusive work environment that values and respects all employees. We do not discriminate based on 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.

Requirements for Employment:

You must be 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.