Director, Compliance -Operations
Company: Vigilant Wealth Management
Location: Chicago
Posted on: October 26, 2024
Job Description:
200 W Madison St, Chicago, IL 60606, USAJob DescriptionPosted
Monday, October 7, 2024 at 5:00 AMOur StoryFounded 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 of
"well-th. rebalanced." Based in Chicago with advisors across the
U.S., we operate as a registered investment advisor (RIA).Your
Future TeamHightower'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 reports to an Executive Director of
Compliance and is predominantly self-directed and self-motivated.
To be successful in this role, you must have a strong understanding
of registered investment adviser and broker-dealer regulations and
compliance requirements, as well as excellent communication and
analytical skills.What You'll Do
- Own various daily Departmental functions such as: the Firm's
proxy voting process, code of ethics related reviews, etc.
- Perform regulatory filing related processes (e.g., 13F, 13H,
various broker dealer related filings, Form ADV other than annual
updates, etc.) serving as the end-to-end owner for the Compliance
Department.
- Reports to CCO of the broker dealer, Hightower Securities,
performing associated day-to-day functions including (but not
limited to) the annual review and annual training.
- Coordinate and oversee all custody audits.
- Conduct TRACE reporting.
- Manage regulatory and state inquiries.
- Manage a queue of support cases ensuring cases are acknowledged
and handled within an appropriate timeframe, "managing up" within
the Department as needed.
- Act as a stakeholder in the implementation of the Firm's
compliance program including taking ownership of relevant
documentation, training, back end processes, etc.
- Investigate and respond to compliance-related incidents.
- Analyze and identify issues and trends for improved process and
controls.
- Develop and track remediation plans.
- Maintain and create compliance desk procedures.
- Perform regulatory research and analysis as necessary.
- Interact with and support personnel at all levels of the Firm's
various business units.
- Support the Compliance Department with various projects as
required.
- Foster a positive compliance culture.What You'll Bring
- Meticulous attention to detail, motivated by excellence.
- Exceptional critical thinking and communication skills, ability
to educate - not dictate.
- 7+ years of professional experience in operations and/or
compliance working for a broker dealer, experience working with a
registered investment advisor a plus.
- Licensing
- Minimum Required: FINRA Series 7 & 24.
- Strongly Preferred: Investment Adviser Certified Compliance
Professional or similar designation; Series 4, 9/10, 27, 53, 66, 65
or some combination thereof or ability to obtain a combination
thereof within one year.
- Experience in policy review and writing for a registered
investment adviser.
- Effective at prioritization of workload with competing
priorities while producing high quality work.
- Ability to independently analyze issues and requirements with
the critical process understanding of business practices and
implications, and assist with the continued refinement of a
supervisory control framework.
- Highly responsive and proactive, able to own tasks from start
to finish.
- Ability to take initiative and work independently with minimal
supervision, while being equally comfortable working
collaboratively.
- Proficient in the use of MS Office applications.
- Deep understanding of SEC, FINRA, MSRB and state-specific rules
and regulations as they relate to Hightower's business model.
- Strong organization and project management skills.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 brand-new gym in the Chicago office.
- 401k matching plan.
- HSA employer contributions.
- Student loan assistance.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.200 W Madison St,
Chicago, IL 60606, USA
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Keywords: Vigilant Wealth Management, Elkhart , Director, Compliance -Operations, Executive , Chicago, Indiana
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