Teams at Hightower

Supports wealth advisors and senior wealth managers by identifying financial planning opportunities, developing customized financial plans, preparing client meetings, coordinating implementation and account maintenance, and communicating follow-up actions. The role collaborates with clients, advisers, portfolio operations, and client services teams to deliver comprehensive wealth management solutions for high-net-worth individuals and families.

Conduct risk-based compliance reviews of marketing and communications for registered investment adviser and broker-dealer businesses. Evaluate materials under SEC Marketing Rule, FINRA requirements, and applicable regulations; identify regulatory and reputational risks; provide practical guidance; maintain policies and controls; train stakeholders; monitor regulatory developments; support audits and examinations; improve review workflows and technology; and mentor team members.

Partners with financial advisors on portfolio construction, asset allocation, risk positioning, manager selection, and investment recommendations. Conducts portfolio diagnostics, supports client reviews, promotes adoption of firm platforms and models, develops proposals and analytics, and coordinates with research, trading, operations, and wealth management teams to ensure compliant execution. Manages advisor relationships and converts consulting engagements into funded opportunities while communicating complex investment concepts clearly.