Compliance Officer (Fintech)

Location: New York, New York; hybrid model with three days in the office

Salary: $100,000–$145,000 base salary annually, plus performance bonus

Company

hirify.global provides alternative investment products, technology, and operational services that connect independent financial advisors with asset managers.

What you will do

• Handle FINRA registration and regulatory processes, including Firm Gateway administration, Form U4 and U5 filings, registration processing, regulatory filings, and FINRA report monitoring.
• Administer employee compliance and personal trading activities, including account reviews, trade pre-clearance, outside business activities, disclosures, and employee attestations.
• Operate compliance systems, escalate issues, and coordinate the resolution of compliance matters.
• Conduct surveillance of electronic communications and review marketing and communications materials for regulatory and policy compliance.
• Support branch office examinations, policy and procedure testing, compliance due diligence, and strategic compliance initiatives.
• Partner with colleagues across the organization to provide practical compliance guidance and enhance the compliance framework.

Requirements

• 2–5+ years of compliance experience at a financial services firm.
• Substantial knowledge of FINRA rules and familiarity with FINRA and SEC marketing and advertising requirements.
• Bachelor’s degree required.
• FINRA Series 7 and Series 24 licenses required.
• Strong analytical, technical, organizational, written, oral, and interpersonal communication skills.
• Ability to manage multiple priorities, meet deadlines, develop relationships, and create pragmatic solutions.

Culture & Benefits

• Inclusive workplace focused on community, growth, innovation, and authentic employee participation.
• Employer-subsidized healthcare with fully employer-paid dental and vision insurance.
• Employer-matched retirement plan and wellness programs.
• Generous paid time off and parental leave.
• Performance bonus and comprehensive benefits package.