Lead Compliance Analyst - Advisory

Location: Hybrid office environment with in-office work on Tuesday, Wednesday, and Thursday in Denver, Cedar Rapids, Philadelphia, or Baltimore; U.S. work authorization required.

Salary: $90,000–$100,000 annually

Company

hirify.global is an international financial services company providing insurance, retirement, investment, and financial solutions, with approximately 7,000 employees.

What you will do

• Lead assigned advisory compliance programs, regulatory initiatives, monitoring activities, risk assessments, and compliance projects.
• Interpret SEC regulations, regulatory guidance, enforcement actions, and industry developments affecting the advisory business.
• Maintain and enhance compliance policies, procedures, the Code of Ethics, testing, monitoring, risk assessments, and regulatory documentation.
• Coordinate regulatory disclosures and filings, including Form ADV Parts 1, 2A, and 2B, Form 13F, and Form 13H.
• Identify regulatory risks, conflicts of interest, control gaps, and process improvement opportunities, then recommend and implement solutions.
• Support regulatory examinations, audits, investigations, due diligence reviews, compliance training, and collaboration with Legal, Operations, Product, Supervision, and business partners.

Requirements

• Bachelor’s degree in business, finance, or a relevant field, or equivalent education and experience.
• At least five years of relevant experience in regulatory compliance, insurance, securities, financial services, internal audit, risk management, testing, or monitoring.
• Experience with advisory compliance programs, compliance testing, regulatory examinations, and compliance risk assessments.
• Strong knowledge of the Investment Advisers Act of 1940, SEC rules for registered investment advisers, fiduciary obligations, advisory products, and fee arrangements.
• FINRA Series 7, 24, and 65/66 licenses, or the ability to obtain the required licenses within the specified timeframe.
• Strong research, analytical, communication, organizational, Microsoft Office, advanced Excel, and PowerPoint skills.

Nice to have

• Experience preparing and maintaining Form ADV and supporting SEC Forms 13F and 13H filings.
• Experience participating in SEC examinations and remediation activities.
• Ability to independently manage multiple priorities, deadlines, projects, and regulatory initiatives.

Culture & Benefits

• Comprehensive benefits supporting personal and financial well-being.
• Pension plan, 401(k) match, employee stock purchase plan, insurance coverage, competitive pay, and eligible employee bonuses.
• Paid time off starting at 160 hours annually, ten paid holidays, parental leave, adoption assistance, and backup care.
• Tuition reimbursement, career training and development, wellness programs, and employee assistance resources.
• Employee resource groups, inclusion and diversity programs, volunteer PTO, matching gifts, recognition, and referral programs.

Hiring process

• Licensing eligibility and the ability to obtain required FINRA licenses are assessed during the hiring process.