Назад
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6 дней назад

Manager, Suitability

114 731 - 155 224$
Формат работы
remote (только USA)
Тип работы
fulltime
Грейд
senior
Английский
b2
Страна
US
Вакансия из списка Hirify.GlobalВакансия из Hirify Global, списка международных tech-компаний
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Описание вакансии

Текст:
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TL;DR
Manager, Suitability (Financial Services/Regulatory Compliance): Leading suitability supervision activities and a high-performing team while ensuring insurance, securities, and investment advisory sales practices comply with regulatory requirements. Focus on interpreting FINRA, SEC, IA, and MSRB rules, evaluating controls, responding to examinations, and mitigating regulatory, financial, and reputational risk.

Location: Remote

Salary: $114,731–$155,224 per year

Company

hirify.global provides financial services focused on helping clients manage money and pursue balanced, purpose-driven lives.

What you will do

  • Lead and oversee suitability review activities using consistent, risk-based regulatory and internal requirements.
  • Set performance expectations, goals, and metrics aligned with Enterprise Supervision objectives.
  • Evaluate suitability controls and recommend enhancements in response to regulatory changes, business evolution, and emerging risks.
  • Partner with Legal, Compliance, Field Leadership, and other stakeholders on sales-practice matters and enterprise initiatives.
  • Coordinate responses to regulatory inquiries, examinations, and audits.
  • Recruit, develop, and lead a high-performing team while promoting accountability and operational excellence.

Requirements

  • College degree or equivalent work experience.
  • 10+ years of financial services and/or compliance experience.
  • Extensive knowledge of FINRA, SEC, IA, and MSRB rules and regulations.
  • Extensive understanding of financial products, including life insurance, annuities, mutual funds, equities, fixed income, options, margin, advisory, and alternative or complex products.
  • Leadership experience in training, mentoring, and developing teammates.
  • FINRA Series 4, 7, 24, 52, 53, 66, or 63/65 licenses as applicable, or the ability to obtain required licenses within 90 days.

Nice to have

  • Experience with Excel, Copilot, AI, and financial services tools.
  • Strong executive communication, facilitation, analytical, collaboration, and influence skills.

Culture & Benefits

  • Remote work arrangement.
  • Medical, dental, and vision insurance, with health savings and flexible spending accounts.
  • 401(k), pension, life insurance, disability insurance, and supplemental protection benefits.
  • 20 days of paid time off, sick and safe time, 10 paid company holidays, and volunteer time off.
  • Paid parental leave, employee assistance, well-being benefits, and potential bonus or incentive programs.

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