Head of Distribution & Capital Markets Compliance

Location: Newport Beach, California, USA

Base salary: $215,000–$260,000 per year, plus a discretionary bonus.

Company

hirify.global is a global active fixed-income investment manager operating across public and private markets.

What you will do

• Lead compliance oversight for hirify.global’s U.S. broker-dealer and distribution activities.
• Own FINRA regulatory engagement, including examinations, inquiries, filings, and ongoing communications.
• Develop and maintain written supervisory procedures, compliance policies, and testing frameworks.
• Advise stakeholders on FINRA rules, broker-dealer requirements, sales practices, Reg BI, recordkeeping, conflicts, and disclosures.
• Conduct monitoring, testing, and surveillance of distribution activities while identifying and mitigating regulatory risks.
• Support new product initiatives and compliant capital markets business strategies.

Requirements

• Juris Doctor degree from a leading law school.
• 10+ years of relevant experience in capital markets, broker-dealer regulation, FINRA compliance, and fund distribution.
• Deep expertise in FINRA rules and broker-dealer compliance frameworks.
• Knowledge of private funds, open-end funds, closed-end funds, ETFs, and collective investment trusts.
• Active Bar membership and expertise in the Investment Advisers Act of 1940, Investment Company Act of 1940, and Securities Exchange Act of 1934.
• Strong analytical, communication, and stakeholder management skills.

Culture & Benefits

• High-performance, inclusive culture based on collaboration, openness, responsibility, and excellence.
• Opportunity to advise senior stakeholders and shape the firm’s compliance framework.
• Base salary combined with a discretionary performance-based bonus.
• Equal employment opportunity and reasonable accommodation for qualified applicants with disabilities.