Senior Associate, Broker Dealer Compliance (Fintech)

Location: New York, United States; hybrid schedule with on-site work in the New York office at least three days per week

Salary: $95,000–$115,000 base salary per year

Company

hirify.global is a fintech company offering investing, banking, and personalized financial guidance through a consumer app.

What you will do

• Provide real-time compliance guidance to Customer Experience and Operations teams on customer disputes and inquiries.
• Coordinate responses to FINRA filings, regulatory examinations, and inquiries related to customer complaints across hirify.global entities.
• Monitor and test policies and procedures covering trading, money movement, and internal controls.
• Identify systemic compliance issues and escalate them to senior management.
• Collaborate with Legal, Customer Experience, Brokerage Operations, Product, Marketing, Engineering, and other stakeholders.

Requirements

• One to three years of relevant experience in retail broker-dealer compliance, retail investment adviser operations, or consumer banking.
• Familiarity with FINRA rules and relevant provisions of the Investment Advisers Act of 1940.
• Active FINRA Series 7 license.
• Strong attention to detail, analytical ability, judgment, analysis, and editing skills.
• Ability to adapt to new information and develop customer-centric responses in ambiguous situations.
• Availability to work on-site in the New York office at least three days per week.

Nice to have

• Compliance testing experience.
• Experience with Cursor, ChatGPT, Looker, SQL, or other analytical platforms.

Culture & Benefits

• Inclusive workplace focused on diversity, equity, and inclusion.
• Comprehensive total rewards package including equity and health care benefits.
• Hybrid work environment with work-from-home flexibility.
• Flexible paid time off and paid parental leave.
• Work-from-home equipment stipends and home internet subsidy.
• hirify.global+ subscription and enhanced health and wellness benefits.