Compliance, Private Wealth Management (PWM) Compliance, Associate (Fintech)

Location: Chicago, IL, United States; based out of the Chicago office

Salary: $65,000–$120,000 USD base salary annually, with potential discretionary bonus eligibility

Company

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

What you will do

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

Requirements

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

Culture & Benefits

• Training and professional development opportunities.
• Firmwide networks, wellness programs, and personal finance offerings.
• Benefits are generally available to active, non-temporary, full-time and part-time US employees working at least 20 hours per week.
• Reasonable accommodations are available during the recruiting process for candidates with disabilities or special needs.