Trust Chief Compliance Officer

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). Our commitment to our culture is demonstrated every day through the Hightower Way. By joining Hightower, you will build a community of inclusive relationships, take proactive ownership, embrace others' perspectives, and have an uncompromising dedication to excellence. What You'll Do Lead and maintain the compliance function and program for all trust company activity at Hightower. The role includes: developing, delivering, maintaining and improving a compliance risk management framework, whilst leading the development of a compliance culture. You will report to the Chief Administrative Officer. Serve as a Hightower brand ambassador by upholding The Hightower Way cultural elements – Mission, Purpose, V.A.L.U.E. Experience, Commitment and Standards, promoting excellence in the internal and external client experience during every encounter Improve consistency in every client and colleague encounter by embodying the core principles of our Hightower V.A.L.U.E. Experience (Validate, Actively Listen, Leverage Resources, Understand Ownership, Express Gratitude) Partner with cross-discipline team members to support collaboration and promote a positive client experience Be the appointed Compliance Officer for the Trust Company Business Principal regulatory contact person of the trust services business with all regulatory agencies Design and implement a compliance framework with related policies to meet the local regulatory requirements, including BSA/AML & OFAC Lead the compliance function in its provision of accurate compliance advice/support and monitoring provided to the Trust Business Ensure that a consistent, proportionate, and risk-based approached is applied to all compliance matters Improve compliance awareness through the evaluation of needs, and delivering a training program Ensure the compliance function reviews all of our compliance policies to ensure that they meet regulatory and best practice requirements Build market knowledge to benchmark compliance policies Ensure action plans are made and implemented to address upcoming changes in regulation and best practice Ensure the establishment operation of a risk-based compliance monitoring program Help with the development and oversight of the risk-based client file review framework Deliver ongoing compliance reporting to the Trust Company Business Boards and separate Risk Committee Establish appropriate mechanisms for the identification, monitoring and reporting on compliance matters to senior management, the board and other relevant partners; and Manage compliance team members   What You'll Bring Minimum 8 years risk or compliance management experience in OCC-regulated trust company or trust division. Proficient with 12 CFR 9, Regulation W, Regulation R, Consumer Privacy, Right to Financial Privacy, GLBA, Fair Credit Reporting Act, and BSA/AML & OFAC Project management skills Location: Chicago or Houston preferred. All other locations shall be considered depending on your experience Support the relevant boards and committees on risk and compliance matters Work with and support staff in the management of potential or actual risks which may arise Lead the compliance teams to ensure the delivery of the responsibilities, specifically including delivery of the responsibilities by main person role holders Mentor members of the risk and compliance team, managing each team member's development through the establishment of clear and achievable goals Provide support/training to the members of the risk and compliance team and to the wider business as deemed necessary   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) Flexible PTO plan Hybrid model work schedule (50% in office) 401k matching plan HSA employer contributions Student loan assistance Pet insurance We commit to a transparent, people-first environment where talent is maximized through our diverse, equitable and inclusive community We nurture a spirit of belonging, are energized by challenges, celebrate our successes, and achieve individual and collective well-th goals   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.

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