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compliance officer
Compliance Officer
Hightower
Chicago, IL
Apr 15, 2026
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 financial 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 support to our advisor teams. We are passionate about serving as collaborators within all facets of the organization. We focus on developing strategies that are for advisors, their clients, and other mid and back-office departments. We do this while observing the spirit of the regulation.   We are looking for an...
Featured
CHIEF COMPLIANCE OFFICER (CCO)
Sandlot Partners
Orem, UT
Mar 19, 2026
CHIEF COMPLIANCE OFFICER (CCO) Location: Orem, UT (Silicon Slopes) Reports To: General Counsel Firm Profile: SEC-Registered Private Equity Advisor (~$600M AUM) ABOUT SANDLOT PARTNERS Sandlot Partners is a private equity firm built around high-conviction investing and a high-touch, relationship-driven model with LPs and founders. Internally, we value speed, accuracy, and an ownership mindset. We’re small by design and expect everyone to operate like a partner. THE OPPORTUNITY We are seeking a high-integrity, detail-oriented Chief Compliance Officer to lead our regulatory program. Reporting directly to the General Counsel with a direct line to senior leadership, the CCO will be responsible for the day-to-day management of our compliance framework, ensuring our firm remains at the forefront of SEC best practices. This is an ideal role for a compliance professional with 2–4 years of experience (or a JD) looking to step into a leadership seat within a sophisticated private...
Compliance Officer
Mizuho
New York, NY
Apr 15, 2026
A New York-based asset manager (SEC registered investment adviser and CFTC registered CTA/CPO) is seeking a VP, Compliance Officer. Vice President (Compliance) Job Description: Provide compliance support to ensure that the firm’s compliance programs are implemented, maintained and enforced in accordance with the applicable rules and regulations including the Investment Adviser Act of 1940 and the Commodity Exchange Act. Review pitch books, monthly reports, DDQs, RFPs and other marketing documents. Participate in investor operational due diligence. Conduct various day-to-day compliance surveillance activities including Code of Ethics and Code of Conduct supervision and enforcement (including personal trade review and monitoring, distribution and review of quarterly and annual Code of Ethics reporting, requesting, collecting and reviewing third party statements as necessary, maintaining restricted lists, gift and entertainment reviews, and political contribution reviews),...
SVP, Senior Compliance Officer
PIMCO
Newport Beach, CA
Apr 15, 2026
PIMCO is a global leader in active fixed income with deep expertise across public and private markets. We invest our clients’ capital across a range of fixed income and credit opportunities, leveraging our decades of experience navigating complex debt markets. Our flexible capital base and deep relationships with issuers have helped us become one of the world’s largest providers of traditional and nontraditional solutions for companies that need financing and investors who seek strong risk-adjusted returns. Since 1971, our people have shaped our organization through a high-performance inclusive culture, in which we celebrate diverse thinking. We invest in our people and strive to imprint our CORE values of Collaboration, Openness, Responsibility and Excellence. We believe each of us is here to help others succeed and this has led to PIMCO being recognized as an innovator, industry thought leader and trusted advisor to our clients. Role Overview PIMCO is seeking a seasoned and...
Compliance Officer
Victory Capital
Boston, MA
Apr 15, 2026
Compliance Officer San Antonio, TX | Boston, MA About Victory Capital: Victory Capital (NASDAQ: VCTR) is a diversified global asset management firm. We serve institutional, intermediary, and individual clients through our Investment Franchises and Solutions Platform, which manage specialized investment strategies across traditional and alternative asset classes. Our differentiated approach combines the power of investment autonomy with the support of a robust, fully integrated operational and distribution platform. Clients have access to focused, top-tier investment talent equipped with comprehensive resources designed to deliver competitive long-term performance. Victory Capital is headquartered in San Antonio, Texas. To learn more, visit www.vcm.com or follow us on Facebook, Twitter (X), and LinkedIn. General Summary and Purpose: Victory Capital Services, Inc. (“VCS”) is an introducing broker-dealer with multiple lines of business, including a self-directed brokerage...
Compliance Officer, Legal & Regulatory Compliance
BMO
Chicago, IL
Apr 14, 2026
Application Deadline: 04/24/2026 Address: 320 S Canal Street Job Family Group: Audit, Risk & Compliance Assists in the implementation, maintenance and administration of a specific compliance program. Coordinates and performs risk assessment, monitoring, testing and surveillance activities to ensure program remains current and aligned with BMO Compliance Program. Works with business/group and internal partners to ensure regulatory, corporate and fiduciary obligations are met. Advises business/group on implications of new regulatory developments or internal products, and assists to implement new/revised policies and programs to address them. Identifies risks and implements appropriate actions to mitigate them. Develops and maintains compliance information for analysis and reporting. Achieves compliance goals by maintaining current knowledge of regulatory requirements and developments. Maintains functional and regulatory expertise specific to...
Sr. Compliance Officer, LRC
BMO
New York, NY
Apr 14, 2026
Application Deadline: 04/24/2026 Address: 151 W 42nd Street Job Family Group: Audit, Risk & Compliance The Equities Compliance Vice President will assist in effective implementation, maintenance and administration of the Capital Markets Compliance Program.  The role provides compliance advisory services, coordinates and performs ongoing risk assessments, and performs monitoring and surveillance activities to ensure that the Compliance Program remains current and aligned with the Firm’s Enterprise-wide Compliance Program.  The Equities Compliance Vice President will be expected to have functional knowledge of a host of equity topics, such as, FINRA Rules 2210, 3130, 5310, as well as SEC Rules 605/6, 15c3-5. The role works closely with the relevant other internal business partners to ensure regulatory, corporate and fiduciary obligations are met.  This role will have a specific focus on compliance oversight over BMO’s Capital Markets and...
Compliance Officer, Registrations
BMO
Chicago, IL
Apr 14, 2026
Application Deadline: 04/24/2026 Address: 320 S Canal Street Job Family Group: Audit, Risk & Compliance The Compliance Officer supports the implementation, maintenance, and administration of the Compliance Program, with a specialized focus on regulatory registrations for employees engaging in activities requiring licensure with FINRA, NFA, and SEC. The role coordinates compliance monitoring, risk assessments, and control evaluations to ensure the business meets regulatory, corporate, and fiduciary obligations. This individual develops strong partnerships across the business, provides subject‑matter expertise on regulatory requirements, and supports the organization’s ability to operate within a sound, well‑controlled environment. Manages and oversees the complete employee registration lifecycle, including onboarding, amendments, terminations, transfers, and associated disclosures. Ensures timely and accurate completion of regulatory filings...
SVP, Senior Compliance Officer
PIMCO
Newport Beach, CA
Apr 14, 2026
PIMCO is a global leader in active fixed income with deep expertise across public and private markets. We invest our clients’ capital across a range of fixed income and credit opportunities, leveraging our decades of experience navigating complex debt markets. Our flexible capital base and deep relationships with issuers have helped us become one of the world’s largest providers of traditional and nontraditional solutions for companies that need financing and investors who seek strong risk-adjusted returns. Since 1971, our people have shaped our organization through a high-performance inclusive culture, in which we celebrate diverse thinking.  We invest in our people and strive to imprint our CORE values of Collaboration, Openness, Responsibility and Excellence. We believe each of us is here to help others succeed and this has led to PIMCO being recognized as an innovator, industry thought leader and trusted advisor to our clients. Role Overview PIMCO is seeking a...
Senior Compliance Officer - Consumer Banking
BMO
Milwaukee, WI
Apr 14, 2026
Application Deadline: 05/01/2026 Address: 790 N Water Street Job Family Group: Audit, Risk & Compliance Assists in the implementation, maintenance and administration of a specific compliance program. Coordinates and performs risk assessment, monitoring, testing and surveillance activities to ensure program remains current and aligned with BMO Compliance Program. Works with business/group and internal partners to ensure regulatory, corporate and fiduciary obligations are met. Advises business/group on implications of new regulatory developments or internal products, and assists to implement new/revised policies and programs to address them. Identifies risks and implements appropriate actions to mitigate them. Develops and maintains compliance information for analysis and reporting. Achieves compliance goals by maintaining current knowledge of regulatory requirements and developments. Maintains functional and regulatory expertise specific to...
Control Room Compliance Officer
U.S. Bank
Charlotte, NC
Apr 14, 2026
  At U.S. Bank, we’re on a journey to do our best. Helping the customers and businesses we serve to make better and smarter financial decisions and enabling the communities we support to grow and succeed.  We believe it takes all of us to bring our shared ambition to life, and each person is unique in their potential. A career with U.S. Bank gives you a wide, ever-growing range of opportunities to discover what makes you thrive at every stage of your career. Try new things, learn new skills and discover what you excel at—all from Day One. Job Description The Global Capital Markets business engages in a range of securities-related activities primarily within the Wealth, Corporate, Commercial & Institutional Banking Division’s business platform and supporting functions.  These activities include loan syndications, loan trading, private placements, derivatives, foreign exchange, debt origination, debt underwriting and sales and trading.  The Control Room Compliance Officer...
Control Room Compliance Officer
U.S. Bank National Association
Charlotte, NC
Apr 14, 2026
  At U.S. Bank, we’re on a journey to do our best. Helping the customers and businesses we serve to make better and smarter financial decisions and enabling the communities we support to grow and succeed.  We believe it takes all of us to bring our shared ambition to life, and each person is unique in their potential. A career with U.S. Bank gives you a wide, ever-growing range of opportunities to discover what makes you thrive at every stage of your career. Try new things, learn new skills and discover what you excel at—all from Day One. Job Description The Global Capital Markets business engages in a range of securities-related activities primarily within the Wealth, Corporate, Commercial & Institutional Banking Division’s business platform and supporting functions.  These activities include loan syndications, loan trading, private placements, derivatives, foreign exchange, debt origination, debt underwriting and sales and trading.  The Control Room Compliance Officer...
Compliance Officer
Man Group
MA
Apr 14, 2026
About Man Group Man Group is a global alternative investment management firm focused on pursuing outperformance for sophisticated clients via our Systematic, Discretionary and Solutions offerings. Powered by talent and advanced technology, our single and multi-manager investment strategies are underpinned by deep research and span public and private markets, across all major asset classes, with a significant focus on alternatives. Man Group takes a partnership approach to working with clients, establishing deep connections and creating tailored solutions to meet their investment goals and those of the millions of retirees and savers they represent Headquartered in London, we manage $227.6 billion* and operate across multiple offices globally. Man Group plc is listed on the London Stock Exchange under the ticker EMG.LN and is a constituent of the FTSE 250 Index. Purpose of the role The purpose of the Compliance Officer role is to perform a wide range of duties, including...
Chief Compliance Officer
The Inland Real Estate Group of Companies
Oak Brook, IL
Apr 11, 2026
The Head of Compliance is responsible for designing, implementing, and overseeing the firm’s enterprise-wide compliance program for its real estate securities platform. This includes, but is not limited to focus on the RIA, sales, private placements, and SEC regulatory requirements. This role serves as a strategic advisor to executive leadership and business partners, ensuring regulatory compliance while supporting responsible growth across distribution channels. The ideal candidate brings deep experience in SEC compliance, Investment Advisers Act requirements, private real estate offerings, RIA oversight, and sales practices, and is comfortable operating in a fast-paced, highly regulated environment. CORE RESPONSIBILITIES: Demonstrates highest standards of personal and professional integrity, adheres to company’s policies and procedures, and complies with applicable laws, government rules and regulations. Regulatory Oversight & Compliance Program Leadership Advise...
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Compliance Manager
Capital Investment Advisors
Hybrid
Mar 19, 2026
At Capital Investment Advisors (CIA), we strive to help clients reach their goals by focusing on our specialty: Income Investing. We are a fee-only financial advisory and portfolio management firm headquartered in Atlanta with offices throughout the U.S. Our advisors in Georgia, Florida, Colorado, Texas, and Arizona provide clients with a full range of financial advice. Since 1996, CIA has been providing financial strategy and management tailored to the client’s individual circumstances and objectives.    Our tight-knit team brings together compliance professionals, financial advisors, investment associates, client service managers and associates, operations specialists, business development professionals, and marketing team members, all working collaboratively to help deliver an exceptional client experience. Our Leadership Team is dedicated to fostering employee growth both professionally and personally, and to making every CIA experience meaningful and memorable....
Product Implementation Specialist, VP II - State Street Investment Management
State Street
Boston, MA
Apr 14, 2026
State Street Investment Management (“State Street IM”) is seeking a Product Implementation Specialist, Vice President to join the Product Implementation team within the Chief Operating Officer (COO) organization. This is a hands-on role focused on operational delivery and launch of new investment products in close partnership with Product Innovation, Technology and Operations, Risk, Compliance, and our strategic partners and service providers. The role is suited to a strong executor who enjoys working in detail across complex operating models, coordinating delivery activities, and progressing products from design through launch. The successful candidate will contribute directly to implementation workstreams and solution design. Key Responsibilities Contribute to the hands-on delivery of new product implementations, supporting operating model design, readiness assessments, and launch execution. Assess new product proposals against existing operational, technology, risk,...
PWM Client Services Team Leader (New Account Opening - Investment Management & Trust)
U.S. Bank
Los Angeles, CA
Apr 15, 2026
  At U.S. Bank, we’re on a journey to do our best. Helping the customers and businesses we serve to make better and smarter financial decisions and enabling the communities we support to grow and succeed.  We believe it takes all of us to bring our shared ambition to life, and each person is unique in their potential. A career with U.S. Bank gives you a wide, ever-growing range of opportunities to discover what makes you thrive at every stage of your career. Try new things, learn new skills and discover what you excel at—all from Day One. Job Description The Private Wealth New Accounts Opening Manager leads the team responsible for account opening new accounts trust, investment, and banking platforms and legal reviews. This role requires exceptional leadership skills, deep knowledge of fiduciary and regulatory requirements, and the ability to review and validate complex legal documentation. The manager ensures operational excellence, compliance, and a superior client...
Credit Support Associate II - Global Wealth & Investment Management
Bank of America
St. Louis, MO
Apr 14, 2026
Job Description: At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. We do this by driving Responsible Growth and delivering for our clients, teammates, communities and shareholders every day. Being a Great Place to Work is core to how we drive Responsible Growth. This includes our commitment to being an inclusive workplace, attracting and developing exceptional talent, supporting our teammates’ physical, emotional, and financial wellness, recognizing and rewarding performance, and how we make an impact in the communities we serve. Bank of America is committed to an in-office culture with specific requirements for office-based attendance and which allows for an appropriate level of flexibility for our teammates and businesses based on role-specific considerations. At Bank of America, you can build a successful career with opportunities to learn, grow, and make an impact. Join us!   Job...
Senior Counsel – Mutual & Private Fund Distribution (Wealth & Investment Management)
Wells Fargo & Company
Charlotte, NC
Apr 14, 2026
About this role:   Wells Fargo is seeking a Senior Counsel to join the legal team supporting its Wealth and Investment Management (WIM) division.  This Senior Counsel will support the legal and regulatory aspects of distributing registered investment companies and private investment funds. This role will work closely with business, compliance, and product teams to provide practical, business‑oriented legal advice on U.S. distribution channels and regulatory requirements. The ideal candidate will have deep familiarity with the Investment Company Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934, and related SEC and FINRA rules governing distribution activities across retail, institutional, and intermediary platforms. In this role, you will: Advise on the distribution of mutual funds, ETFs, and other registered products, including compliance with the Investment Company Act of 1940 and related SEC rules (e.g., Rule 12b‑1, Rule 22c‑1, Regulation...
Product Manager - Client Experience Pathways, VP II - State Street Investment Management
State Street
Boston, MA
Apr 14, 2026
State Street Investment Management (“State Street IM,” formerly known as State Street Global Advisors or SSGA) is seeking an experienced Product Manager to drive enterprise transformation and deliver scalable, client‑centric outcomes across the Client Experience ecosystem. The role demands expertise across front, middle, and back‑office platforms, with a solid understanding of integrations and data flows to support alignment with the Alpha target operating model and roadmap. Operating at both strategic and execution levels, the Product Manager translates business vision into actionable roadmaps while ensuring disciplined delivery, operational excellence, and effective risk management. What You Will Be Responsible For: Own product leadership for current‑state Middle Office integration with Client Experience platforms, coordinating performance, accounting, security master, and index data flows across the ecosystem. Understand the Alpha Target State and ensure that Client...
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Compliance Officer

Hightower
Apply Now
Chicago, Illinois, United States
Apr 15, 2026
Compliance

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 financial 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 support to our advisor teams. We are passionate about serving as collaborators within all facets of the organization. We focus on developing strategies that are for advisors, their clients, and other mid and back-office departments. We do this while observing the spirit of the regulation.

 

We are looking for an experienced Compliance Officer – Office Examinations. You will be a valued member of the Compliance Department, working with tenured professionals and reporting to the Executive Director of Compliance Review to ensure Hightower's goals and values are met and upheld. You will be a key contributor in the execution of a risk-based office examination program for an SEC-registered investment adviser and FINRA-regulated broker-dealer. You will support our supervisory and compliance framework by identifying regulatory risks, assessing adherence to SEC, FINRA, and internal policies, and contributing to the effectiveness of the firm's compliance program.

 

What You'll Do

  • Conduct routine and for-cause office examinations of branch offices, OSJs, and advisory locations, both onsite and remotely.
  • Evaluate compliance with:
    • SEC regulations, including the Investment Advisers Act of 1940
    • FINRA rules, including supervision (Rule 3110) and communications
    • Applicable state regulations
    • Firm policies and written supervisory procedures (WSPs)
  • Perform testing and review of key risk areas, including, but not limited to:
    • Sales practices and suitability
    • Advertising and communications
    • Books and records
    • Outside business activities (OBAs) and private securities transactions (PSTs)
    • Fee billing and advisory practices
    • Cybersecurity and safeguarding of client information
    • Adherence with Firm policies and procedures
  • Escalate findings or potential violations to compliance leadership
  • Document examination findings, risk impact assessment, and proposed remediation protocol.
  • Prepare and distribute examination finding reports.
  • Track remediation efforts and follow up with business partners to ensure timely resolution of identified issues.
  • Maintain accurate book and records of examinations, findings reports, and supporting documentation.
  • Help refine examination procedures, checklists, and risk-based methodologies.
  • Identify trends or recurring issues and provide input to enhance policies, procedures, and training.
  • Support regulatory examinations (SEC, FINRA, and state) by gathering documentation and responding to requests.

 

What You'll Bring

  • 3–7 years of experience in compliance, supervision, audit, or a related function within a broker-dealer or RIA.
  • Working knowledge of SEC and FINRA regulations, particularly branch supervision and office inspection requirements.
  • Experience conducting compliance testing, audits, or office examinations preferred.
  • FINRA licenses (e.g., Series 7, 24, 65/66) preferred or willingness to obtain.
  • Ability to independently analyze issues and requirements with the understanding of business practices.
  • Responsive and proactive, able to work autonomously or collaboratively, depending on circumstances.

 

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
  • In-office Monday through Thursday and work from home on Fridays
  • Free brand-new gym in the Chicago office
  • 401k matching plan
  • HSA employer contributions
  • Student loan assistance
  • Pet insurance
  • Base salary of 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.

 

About Hightower
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