What are the responsibilities and job description for the Senior Compliance Specialist position at Vigilant Wealth Management?
200 W Madison St, Chicago, IL 60606, USA
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Job Description
Posted Monday, December 23, 2024 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 the Head of Field Supervision and is predominantly self-directed and self-motivated. To be successful in this role, you must have a significant understanding of registered investment adviser and broker-dealer regulations and compliance requirements, as well as excellent communication and analytical skills.
What You’ll Do
- Review, approve, oversee, and maintain various types of employee disclosures and all downstream effects of those disclosures.
- Manage a queue of employee requests, support cases, and related tasks ensuring proper acknowledgment and handling within the appropriate timeframe.
- Maintain violations and exceptions logs from end to end, managing up as necessary, and ensuring the proper documentation and follow-through are performed.
- Exercise and demonstrate sound judgment, critical thinking, and decision-making capabilities, leveraging resources and serving as a stakeholder within the Department taking full ownership of assigned responsibilities.
- Analyze and identify issues and trends for improved processes and controls.
- Develop and track improvement and / or remediation plans.
- Maintain and create compliance desk procedures.
- 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
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 : $100,000 - $110,000
