Manager, Investment Compliance - Wealth Management (Fintech)

Location: Chicago, Illinois, United States

Salary: $83,100–$141,300 USD per year

Company

hirify.global provides wealth management, asset servicing, asset management, and banking services to individuals, families, corporations, and institutions.

What you will do

• Manage a small investment compliance team, including work assignments, performance management, staffing, training, and development.
• Help develop and execute the Wealth Management Investment Compliance strategic plan, goals, policies, and procedures.
• Oversee compliance with the wealth management code of ethics and identify and manage conflicts of interest in the investment process.
• Advise business partners on applicable laws, regulations, rules, and standards affecting their activities.
• Implement the Corporate Compliance Program, coordinate required regulatory training, and support investment services committees.
• Conduct compliance risk assessments, document and escalate risks, and develop written procedures for regulatory compliance.

Requirements

• 7–10+ years of investment-related experience in wealth management, asset management, or another financial services organization.
• Solid experience in compliance, risk management, or an equivalent area.
• Knowledge of financial services laws and regulations, investment terminology, marketplaces, trust investments, taxation, and compliance procedures.
• Strong analytical, communication, management, organizational, and leadership skills.
• Prior management experience is preferred.
• Must be authorized to work in the United States without current or future employment-based visa sponsorship.

Culture & Benefits

• Flexible and collaborative work culture with accessible senior leadership.
• Retirement benefits including a 401(k) and pension.
• Medical, dental, vision, spending accounts, disability, life, and accident insurance.
• Paid time off, parental and caregiver leave, and other well-being benefits.
• Discretionary bonus program that may include an equity component.