Principal (Financial Services Compliance)

Location: Remote

Salary: $63,741–$86,238 per year

Company

hirify.global provides financial services focused on insurance, securities, investment advisory products, and helping members make informed financial decisions.

What you will do

• Review and monitor insurance, securities, and investment advisory activities for compliance with policies and regulations.
• Conduct suitability and best-interest reviews to protect member-owner interests.
• Make risk-based decisions and escalate complex or high-risk issues to management.
• Collaborate with managers, individual contributors, field employees, vendors, contractors, and consultants.
• Support initiatives that improve risk management, client service, operational efficiency, and accountability.

Requirements

• College degree or equivalent work experience.
• 0–1 year of experience in the financial services industry.
• Basic knowledge of FINRA, SEC, IA, and MSRB rules and regulations, with the ability to interpret and apply them.
• Understanding of financial services products, including life insurance, annuities, mutual funds, 529 plans, equity, fixed income, margin, and advisory products.
• FINRA Series 7, 24 or 9/10, and 63/65 or 66 certifications required, or completion within 90 days of hire or transfer. Additional Series 4, 51, 52, or 53 licenses may be required depending on responsibilities.
• Critical thinking, accountability, sound decision-making, collaboration, resilience, and adaptability.

Nice to have

• Experience with process improvement or operational efficiency projects.
• Exposure to compliance or regulatory environments in financial services.
• Experience reviewing correspondence and trade reviews.
• Familiarity with hirify.global's core values and leadership behaviors.

Culture & Benefits

• Remote work environment.
• Potential bonuses, including annual or long-term incentives.
• Medical, dental, and vision insurance, plus health savings and flexible spending accounts.
• 401(k), pension, life, disability, and supplemental protection insurance.
• 20 days of paid time off, sick and safe time, paid holidays, volunteer time off, and paid parental leave.
• Employee assistance and well-being benefits.