Senior Director, Business Unit Compliance Liaison

Location: Minneapolis, Minnesota or Charlotte, North Carolina, United States. Hybrid attendance is required, with employees working in the office at least four days per week and from home one day per week; some roles may require additional in-office time.

Base salary: $168,800–$225,000 per year, plus potential variable compensation such as bonuses, commissions, and long-term incentives.

Company

hirify.global is a diversified financial services organization providing financial planning and advice, asset management, insurance, and annuity services to individual, small business, and institutional clients.

What you will do

• Lead the centralized risk team for Wealth Management Solutions and oversee governance, risk, and control functions.
• Oversee regulatory reporting, control functions, dashboards, general ledger reconciliations, and related reporting processes.
• Lead governance routines and coordinate product, business review, risk, conflicts, and Regulation Best Interest committees.
• Coordinate risk programs, regulatory budgets, Risk Events, process inventories, Risk and Control Self-Assessments, testing, and annual risk assessments.
• Oversee policies, procedures, supervisory controls, audit activities, regulatory requests, vendor risk, licensing, certifications, and contract repository governance.
• Identify control gaps, implement remediation strategies, partner with senior leaders and regulators, and develop a team of risk professionals.

Requirements

• Bachelor’s degree or equivalent experience.
• 10+ years of financial services experience focused on risk management, controls, and broker-dealer operations.
• Active FINRA Series 7 and Series 24 licenses.
• Strong knowledge of broker-dealer regulations and regulatory reporting frameworks.
• Experience leading risk, governance, audit, supervisory control, policy, licensing, vendor risk, and related oversight routines.
• Ability to influence and collaborate across business lines and with external stakeholders, with prior team leadership experience.
• Strong relationship-building, communication, analytical, organizational, and time-management skills, including the ability to identify and resolve or mitigate risks.
• Ability to drive results, meet deadlines, work independently, and communicate effectively in writing and verbally.
• Must have valid United States work authorization that does not now or in the future require visa sponsorship.

Nice to have

• Experience with advisory products, investment products, annuities, insurance, and retirement plans.

Culture & Benefits

• Client-centric, relationship-based environment focused on in-person collaboration and face-to-face communication.
• Vacation and sick time.
• 401(k) plan.
• Health, dental, and life insurance.
• Some roles may offer variable compensation and long-term incentives based on the position.