7+ years of compliance or supervisory experience in financial services
In-depth knowledge of SEC and FINRA regulations
Experience with branch-office supervision and compliance risk management
Strong analytical skills for complex regulatory issues
Exceptional communication and leadership abilities
Proficiency in Microsoft Office and AI tools
Active securities and insurance licenses required
Responsibilities
Direct supervisory functions across nationwide branch offices
Lead the firm's supervisory program for compliance with laws and policies
Monitor regulatory changes and assess their business impact
Provide guidance on compliance requirements to advisors and staff
Promote compliance awareness through proactive communication
Collaborate with various teams to achieve compliance outcomes
Identify and escalate compliance issues and emerging risks
Recommend improvements to supervisory controls and workflows
Utilize data and AI tools for risk identification and efficiency
Lead departmental initiatives and maintain accountability
Benefits
Medical, dental, and vision insurance from day one
Generous paid parental leave
Onsite mother's lounge
Flexible PTO plan
Hybrid work schedule with remote Fridays
Access to a new gym in the office
401k matching contributions
Employer contributions to HSA
Student loan assistance
Pet insurance
Full Job Description
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 organizational, project-management, and process-improvement skills, with the ability to prioritize competing responsibilities and deliver accurate, high-quality work on time.
A proactive, responsive, and accountable working style, with the ability to operate independently and collaborate effectively.
Proficiency with Microsoft Office applications and artificial intelligence tools such as ChatGPT, Claude, and Microsoft Copilot.
Active Series 7, 24, 9/10, and 63 and 65 or 66 securities licenses.
Active Life, Health, and Variable Annuity licenses required.
Serve as the Supervisory Principal for the Chicago Office (OSJ).
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
In-office Monday through Thursday and work from home on Fridays
Free brand-new gym in the Chicago office
401k matching plan
HSA employer contributions
Student loan assistance
Pet insurance
Base salary of $150,000-$160,000 plus discretionary bonus (exact base salary amount will be dependent on experience)
