Compliance, GBM Public Compliance- Equities: Flow and Strategic Derivatives, Vice President, NY

Location: New York, NY, United States

Company

hirify.global is a global investment banking, securities, and investment management firm headquartered in New York with offices worldwide.

What you will do

• Provide day-to-day Compliance coverage for Equities Flow and Strategic Derivatives, including sales, trading, and Strats teams.
• Advise on listed and OTC derivatives, securities-based swaps, financing products, and applicable regulatory requirements.
• Assess new business initiatives and represent Compliance in cross-divisional regulatory projects.
• Draft and maintain Compliance policies, procedures, and training programs for Equities professionals.
• Support regulatory examinations, audits, inquiries, surveillance oversight, and programmatic reviews.
• Analyze regulatory changes, evaluate compliance risks, and help develop compliance action plans.

Requirements

• Bachelor’s degree.
• 6+ years of experience in Compliance, Legal, Regulatory, or Financial Services.
• Knowledge of rules governing broker-dealers, swap dealers, and other regulated financial services entities, including SEC, CFTC, FINRA, NFA, NYSE, Nasdaq, CBOE, and ISE requirements.
• Understanding of cash equities, options, derivatives, and structured products market conventions.
• Strong written and verbal communication skills, with the ability to manage multiple priorities under pressure.
• Experience leading or participating in regulatory projects and business initiatives requiring Compliance input.

Nice to have

• Regulatory experience in OTC derivatives and securities-based swaps.

Culture & Benefits

• Independent Compliance function operating as part of the firm’s second line of defense.
• Training and development opportunities, firmwide networks, wellness programs, and personal finance offerings.
• Commitment to diversity, inclusion, and reasonable accommodations during the recruiting process.