Analyst, Compliance (Fintech)

Location: Fort Mill/Charlotte, United States

Salary: $63,860–$106,399 base salary per year

Company

hirify.global is a U.S. wealth management firm providing advisor affiliation models, investment solutions, fintech tools, and practice management services to financial advisors and institutions.

What you will do

• Review personal trading accounts disclosed by LPL employees and advisors for compliance with outside investment account and personal trading policies.
• Coordinate with broker-dealers to establish electronic data feeds or obtain duplicate statements for accounts held outside LPL.
• Partner with OSJs, financial advisors, and managers to ensure required compliance attestations are completed.
• Review political contribution requests under LPL policy and SEC and FINRA Pay to Play rules.
• Monitor regulatory and industry developments and update policies and procedures to improve controls and advisor experience.
• Support special projects, regulatory research, reporting, and control-gap identification.

Requirements

• Bachelor’s degree.
• 2+ years of experience in the financial services industry.
• Proficiency with Microsoft Office applications.
• Analytical and problem-solving skills with strong attention to detail and quality assurance.
• Ability to communicate effectively, learn quickly, think strategically, multitask, and collaborate in a team environment.

Nice to have

• FINRA licenses or other industry certifications and designations.
• Excellent written and oral communication skills.

Culture & Benefits

• Collaborative, fast-paced, team-oriented work environment.
• 401(k) matching and health benefits.
• Employee stock options.
• Paid time off and volunteer time off.
• Focus on continuous improvement, integrity, creativity, and client service.