Compliance Manager- Registrations and Licensing

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 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 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. This position is located in Chicago, IL and is hybrid with 4 days in the office.

What You'll Do

The Compliance Manager, Registrations & Licensing, will take ownership of the accuracy, completeness, and timeliness of all firm licensing and registration activities for its affiliated FINRA regulated broker-dealer (BD) and SEC-registered investment adviser (IA). To be successful in this role, you must have a strong understanding of the compliance requirements around licensing and registration, including state specific requirements and the differing regulatory obligations applicable to broker-dealers and registered investment advisers. This position reports to the Director, Compliance / CCO of Hightower Securities.

• 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 department 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.

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
• 401k matching plan
• HSA employer contributions
• Student loan assistance
• Pet insurance
• Base salary up to $130,000 plus discretionary bonus (exact base salary amount will be dependent on experience)

AN 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.