ETF and 1940 Act Registered Funds Compliance Officer - Vice President (ETF Compliance)

Location: New York, New York, United States; hybrid schedule with office work Monday–Thursday and remote work on Friday.

Base salary: $150,000–$180,000 per year.

Company

hirify.global provides investment and financial services involving ETFs, alternative investments, registered funds, and related investment advisers.

What you will do

• Oversee compliance and governance frameworks for ETFs, alternative investment fund-of-funds, and 1940 Act Registered Funds.
• Monitor fund governing documents, product-specific obligations, disclosures, premium or discount reporting, and regulatory filings.
• Advise Product, Portfolio Management, Operations, and other stakeholders on product structuring, operations, investment strategies, and disclosures.
• Review marketing materials and coordinate approvals with relevant stakeholders.
• Translate regulatory requirements into scalable policies, procedures, and compliance controls, including post-trade monitoring and portfolio guideline testing.
• Support best execution governance, compliance testing, remediation tracking, and reviews of administrators, custodians, legal counsel, auditors, and other service providers.

Requirements

• Bachelor’s degree is required.
• 10+ years of compliance experience in financial services, including experience with ETFs, derivatives, alternatives, and the regulatory landscape.
• Knowledge of U.S. securities laws, including the Investment Company Act of 1940, Investment Advisers Act of 1940, Securities Act of 1933, Securities Exchange Act of 1934, and SEC, CFTC, NFA, and FINRA regulations.
• Experience with investment company, investment adviser, and NFA or CFTC compliance programs and requirements.
• Experience with Rule 38a-1 under the Investment Company Act of 1940 and Rule 206(4)-7 under the Investment Advisers Act of 1940.
• Experience with regulatory examinations, investigations, or other interactions with the SEC, FINRA, and NFA.
• Experience evaluating risk and mapping risk and controls across firm practices.
• Experience mentoring or upskilling other team members.
• Ability to operate in a fast-paced environment and prioritize detail-oriented work.

Nice to have

• Law degree or MBA.
• FINRA Series 7 and 24 licenses.

Culture & Benefits

• Office-based collaboration Monday–Thursday with remote flexibility on Friday.
• Equity for all full-time employees and an annual performance bonus.
• Employer-matched retirement plan and subsidized healthcare.
• Employer-paid dental, vision, telemedicine, and virtual mental health counseling.
• Parental leave and unlimited paid time off.