Compliance, Private Wealth Management (PWM) Compliance, Associate / Vice President, Atlanta

Location: Atlanta, GA, United States; office-based

Company

hirify.global is a global investment banking, securities, and investment management firm founded in 1869 with offices around the world.

What you will do

• Monitor and conduct surveillance focused on regulatory and internal controls.
• Assess financial product and transaction suitability for Wealth Management clients.
• Review marketing materials used to present products and services to clients.
• Advise Wealth Management teams on regulations, policies, and client issues.
• Collaborate daily with Wealth Management, Divisional Compliance, Legal, and Operations teams.
• Participate in US Wealth Management and Global Compliance projects and initiatives.

Requirements

• Bachelor’s degree.
• Three to five years of experience with legal, regulatory, and compliance issues in the financial industry.
• Strong interpersonal, analytical, risk assessment, verbal, and written communication skills.
• Ability to work under pressure, adapt to changing situations, and operate effectively with minimal supervision.
• Series 7, 63, 9, and 10 licenses, or willingness and ability to pass the examinations within a reasonable period.

Culture & Benefits

• Independent compliance function focused on managing regulatory and reputational risk.
• Training and development opportunities and firmwide professional networks.
• Benefits, wellness, personal finance offerings, and mindfulness programs.
• Commitment to diversity, inclusion, and reasonable accommodations during recruiting.