Risk Management Consultant (FINRA/SEC Compliance)

Location: Springfield, Massachusetts, United States

Salary: $76,200–$100,000 per year

Company

hirify.global is a purpose-driven financial services organization focused on long-term customer outcomes, integrity, and responsible stewardship.

What you will do

• Evaluate FINRA and SEC guidance, disciplinary actions, internal information, and observations to identify emerging sales practice risks, especially those involving Regulation Best Interest.
• Gather and analyze company-level data to establish Key Risk Indicators and conduct in-depth reviews of advisors exceeding established thresholds.
• Prepare clear reports documenting reviewed risks, observations, and Items of Note for individual advisors.
• Meet with Regional Supervisory Directors and Agency Supervision staff to discuss findings and determine appropriate follow-up.
• Track supervisory documentation and escalate missing or insufficient responses to identified risk areas.
• Partner with Compliance, Legal, Field, MMLIS, and other business partners on regulatory matters, surveillance escalations, and ad hoc reviews.

Requirements

• FINRA Series 7 and Series 24 registrations are required at the time of application.
• 4+ years of compliance or supervisory experience supporting a broker-dealer or investment adviser.
• Knowledge of brokerage products, program policies, FINRA rules and guidance, and state and federal securities law.
• 3+ years of experience with Microsoft Excel.
• College degree.
• Strong analytical, written communication, presentation, interpersonal, project management, and problem-solving skills.

Nice to have

• FINRA Series 53 and Series 4 registrations.
• Knowledge of trade review systems and Advisor360 Suite, including the Document Retention Tool, Wealthscape, Envestnet, or FBSI.
• Experience analyzing data across multiple products and business lines.
• Strong Microsoft Office skills, including Outlook, PowerPoint, and Word.

Culture & Benefits

• Clear ownership and accountability connected to company and customer outcomes.
• Collaborative environment that welcomes different perspectives.
• Access to learning, development, and internal professional networks.
• Employee-led communities and forums supporting connection, learning, and inclusion.
• Culture grounded in integrity, responsibility, and long-term impact.