Compliance, Private Wealth Management (PWM), Vice President, Los Angeles

Location: Los Angeles office, United States

Salary: USD 115,000–250,000 per year

Company

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

What you will do

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

Requirements

• Bachelor’s degree.
• Three to five years of experience.
• Experience with legal, regulatory, and compliance issues in the financial industry.
• Strong interpersonal, analytical, risk assessment, verbal, and written communication skills.
• Ability to work under pressure, adapt to changing situations, and operate with minimal supervision.
• Series 7, 63, 9, and 10 licenses, or the ability to pass the required exams within a reasonable period.

Culture & Benefits

• Training and professional development opportunities.
• Firmwide professional networks and diversity and inclusion initiatives.
• Benefits, wellness, personal finance, and mindfulness programs.
• Reasonable accommodations are available during the recruiting process for candidates with disabilities or special needs.