Compliance Officer- Registrations and Licensing

Registrations and Licensing Compliance Manager Chicago, IL, USA Hybrid position: 4 days in the office, remaining remote. What You’ll Do Establish and maintain a governance framework for licensing and registration activities across BD and IA platforms. Directly execute FINRA U4/U5 filings, amendments, and registrations related to the BD and IA registrations. Manage day‑to‑day licensing, registration, and support case queue with timely follow‑up and resolution. Support onboarding of new advisor teams and transitions. Manage and execute onboarding and offboarding activities for employees and advisors coordinating with other departments. Oversee and administer CE requirements while providing guidance to registered individuals. Leverage day‑to‑day execution insights to identify and drive process improvements. Monitor regulatory and system changes impacting registrations and licensing (SEC, FINRA, state), translate requirements into operational updates, and drive implementation timelines across stakeholders. Engage with regulators, addressing registration and licensing‑related inquiries promptly and seeing them through to completion. Partner with cross‑functional departments to streamline onboarding/offboarding and registration data flows; identify automation opportunities and system enhancements. Prepare and maintain ADV Part 2B disclosure documents. Maintain firm and individual insurance licenses, renewals, and invoice allocations. Support the compliance function by completing additional projects and responsibilities as assigned. What You’ll Bring Bachelor’s degree or equivalent professional experience. 7+ years of professional experience in compliance working for a registered investment advisor and/or broker‑dealer. Licensing and registration experience required. Strong analytical, investigative, and problem‑solving skills. Excellent written and verbal communication skills for regulatory and executive audiences. Ability to assess and articulate regulatory distinctions between BD and IA requirements. Independent judgment with a collaborative, risk‑based approach. Strong organizational and project management capabilities. Deep understanding of SEC and FINRA rules and regulations as they relate to Hightower’s business model. 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. Free gym in the Chicago office. 401(k) matching plan. HSA employer contributions. Student loan assistance. Base salary up to $130,000 plus discretionary bonus (exact base salary amount will be dependent on experience). Equal Opportunity Employer 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. #J-18808-Ljbffr