AVP - Investment Product Compliance Officer (Fintech)

Location: Fort Mill/Charlotte, United States

Pay range: $104,957–$174,997 per year

Company

hirify.global is a US wealth management firm supporting financial advisors and institutions with investment solutions, technology resources, and practice management services.

What you will do

• Oversee compliance risks and controls for investment products across brokerage and advisory platforms.
• Assess control gaps and emerging risks, document findings, and support remediation plans.
• Provide risk-based compliance guidance to business leaders and cross-functional partners.
• Develop policies, procedures, and training programs related to regulatory obligations.
• Manage regulatory change activities, including applicability analysis, impact assessments, and implementation.
• Improve compliance controls, support regulatory commitments, and use technology to strengthen compliance processes.

Requirements

• Bachelor’s degree.
• 8+ years of relevant experience in financial services compliance, legal, risk, or supervision.
• Strong knowledge of investment products, sales practices, disclosures, supervision, and product governance.
• Excellent written and verbal communication skills, including the ability to explain complex regulatory concepts to business stakeholders and senior leaders.
• Experience managing priorities, leading projects, influencing cross-functional partners, and delivering results in a fast-paced environment.

Nice to have

• Experience with mutual funds, unit investment trusts, or 529 Plans.
• Experience with compliance surveillance applications.
• Experience interacting with regulators or working in wealth management.
• Series 7 or another relevant industry certification.

Culture & Benefits

• Collaborative, team-oriented environment focused on client outcomes and continuous improvement.
• 401(k) matching, health benefits, employee stock options, paid time off, and volunteer time off.
• Opportunities to partner with Compliance, Legal, Risk, and business stakeholders.