Compliance Manager (Financial Services)

Location: Boston, Massachusetts; employees work in the office at least four days per week and may work from home one day per week. Applicants must already have U.S. work authorization without requiring current or future visa sponsorship.

Base salary: $78,700–$138,200 per year, plus potential variable compensation and benefits.

Company

hirify.global is a diversified financial services organization serving individual, small business, and institutional clients through financial planning, asset management, and insurance businesses.

What you will do

• Provide day-to-day compliance support and subject matter expertise for intermediary and institutional sales and distribution, including broker-dealer sales and distribution rules and FINRA regulations.
• Support product, marketing, sales distribution, and communications initiatives while building effective relationships with business partners and compliance teams.
• Assist with compliance risk assessments, communicate risks and improvement recommendations, and escalate regulatory interpretation questions to Legal or Compliance subject matter experts.
• Monitor SEC, FINRA, CFTC/NFA, state legislative, and industry developments; assess their impact and prepare communications for applicable business partners.
• Manage intermediary sales and distribution policies and procedures.
• Review marketing and communications for fairness, balance, completeness, required disclosures, and compliance; determine FINRA filing needs, resolve FINRA comments, and document actions taken.

Requirements

• Bachelor’s degree or equivalent four-year education.
• 5–7 years of relevant work experience.
• Strong knowledge of the financial services industry and compliance functions.
• Ability to build and develop working knowledge of applicable industry regulations.
• Experience providing compliance support to sales and distribution areas.
• Exceptional verbal and written communication, collaboration, influencing, negotiation, decision-making, and problem-solving skills.
• Ability to independently manage time, prioritize multiple tight deadlines, maintain attention to detail, and build productive relationships with business colleagues.
• Ability to think, respond, and learn quickly in a fast-paced environment.

Nice to have

• FINRA Series 7 and 24 or Series 6 and 26.
• Knowledge of different financial products and services.
• Knowledge of compliance and advertising review for broker-dealer and/or registered investment adviser marketing materials.
• Ability to quickly learn software and create effective communications in Word, Excel, and PowerPoint.
• Extensive experience working with FINRA analysts and participating in FINRA examinations.

Culture & Benefits

• Client-centric, relationship-based work environment centered on in-person collaboration, idea sharing, productivity, and personal connection.
• Full-time exempt employment with a pay-for-performance compensation philosophy.
• Benefits include vacation time, sick time, 401(k), and health, dental, and life insurance.
• Inclusive and accessible recruitment process with reasonable accommodations available for applicants with disabilities.