Compliance Analyst (Broker/Dealer)

Location: In office at 400 Park Avenue, New York, New York, US 10022

Salary: $70,000–$120,000 per year, plus eligibility for bonus and/or commissions.

Company

hirify.global is a banking institution and a subsidiary of Royal Bank of Canada, serving clients, colleagues, and communities through financial services.

What you will do

• Monitor, oversee, and independently assess compliance programs for wealth management broker-dealer entities.
• Develop, administer, and monitor programs supporting compliance with laws, regulations, and industry rules.
• Conduct risk assessments, identify compliance exposures, and prioritize risks.
• Evaluate processes and recommend improvements to reduce business and compliance risk.
• Provide guidance on licensing, registration, regulatory change management, new products, and complex compliance matters.
• Track and escalate compliance issues, audit findings, regulatory matters, and corrective actions to business leaders and lines of defense.

Requirements

• Bachelor's degree or equivalent.
• At least 4 years of banking experience and 3 years of risk management or compliance experience.
• At least 3 years of advanced experience with Microsoft Office, including Word, Excel, Access, and PowerPoint.
• Experience analyzing business processes, identifying key risks, and implementing control improvements.
• Experience communicating with federal, state, and administrative regulatory agencies, including examination management and regulatory affairs.
• Strong analytical, organizational, communication, decision-making, prioritization, and time-management skills.

Nice to have

• Series 7 qualification.
• Experience with regulations affecting broker-dealer clients or registered investment advisers.
• Experience with Tableau.

Culture & Benefits

• Medical, dental, and vision coverage available from the first month after starting.
• 401(k) company matching contribution.
• Tuition reimbursement and internal upskilling and training resources.
• Vacation, sick, and volunteer time benefits.
• Health and family planning programs, including fertility and specialized support programs.
• Career mobility support and colleague resource groups.