What are the responsibilities and job description for the Director, Compliance -Operations position at Vigilant Capital Management, LLC?
200 W Madison St, Chicago, IL 60606, USA
Do you have the following skills, experience and drive to succeed in this role Find out below.
Job Description
Posted Tuesday, January 14, 2025 at 6 : 00 AM
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 of “well-th. rebalanced.” 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 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
Minimum Required : FINRA Series 7 & 24.
What We Offer
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
J-18808-Ljbffr
Salary : $120,000 - $135,000
