Compliance Officer or Attorney, Securities (Financial Services Industry)

Location: Hybrid in Duluth, Georgia; 3 days onsite and 2 days remote

Salary: $90,000–$120,000 annually

Company

hirify.global provides financial services through broker-dealers and a registered investment adviser.

What you will do

• Interpret new and existing securities laws and regulations and advise business units.
• Develop, update, and enhance compliance policies, procedures, processes, and controls.
• Conduct compliance testing, ad hoc testing, risk analysis, and corrective-action validation.
• Respond to regulatory inquiries from FINRA, the SEC, and state securities divisions.
• Provide guidance and training to business units and registered representatives.
• Represent the Compliance Department in business meetings and committees.

Requirements

• Bachelor’s degree.
• FINRA SIE, Series 7, 24, and 65/66 licenses, or the ability to obtain them within 150 days of hire.
• Strong analytical, research, writing, communication, judgment, and problem-solving skills.
• Ability to manage multiple priorities, work independently and collaboratively, and meet deadlines.
• Microsoft Office proficiency, including Word and Excel.
• This role is not eligible for visa sponsorship now or in the future.

Nice to have

• 2–5 years of financial services experience.
• MBA, Juris Doctorate, or another advanced degree.
• Experience with FINRA, SEC, and state securities regulators.
• Knowledge of US securities laws, mutual funds, annuities, advisory products, FINRA Gateway, or WebCRD.

Culture & Benefits

• Health, dental, and vision insurance from day one.
• 401(k) plan with an employer match.
• Vacation, sick, holiday, and volunteer time off.
• Life and disability insurance, plus FSA and HSA options.
• Professional development, tuition reimbursement, and company-sponsored social and philanthropy events.