Sr. Regulatory Compliance Analyst - Investment Compliance (Hybrid)

Location: Hybrid; three days in office per week in Philadelphia or Cedar Rapids, United States. Occasional travel may be required for team meetings, training, regulatory matters, examinations, audits, governance meetings, industry forums, or business partner support.

Salary: $85,000–$95,000 annually, plus potential eligibility for an annual bonus.

Company

hirify.global is a financial services company providing insurance, retirement, investment, savings, and employee benefits solutions as part of the international Aegon group.

What you will do

• Own investment compliance monitoring, surveillance, testing, regulatory change management initiatives, and compliance projects from planning through remediation.
• Review investment activities, portfolio management, trading, operations, valuation, controls, policies, and procedures against regulatory requirements, investment guidelines, and company standards.
• Research and interpret current, new, and proposed laws, regulations, accounting standards, regulatory guidance, and industry developments, including New York and Iowa insurance investment regulations and NAIC guidance.
• Identify emerging risks, control deficiencies, and governance gaps across fixed income, private assets, derivatives, structured products, alternative investments, securities lending, and other General Account activities.
• Support regulatory examinations, insurance department reviews, internal and external audits, risk assessments, inquiries, and investigations, including documentation, responses, findings, and remediation.
• Maintain compliance policies, procedures, monitoring reports, regulatory inventories, issue logs, investment guideline inventories, and governance materials; advise investment professionals and collaborate with CIO, Audit, Risk, Legal, Accounting, Valuation, Treasury, and Operations teams.

Requirements

• Bachelor’s degree in business, legal studies, risk management, compliance, or a related field.
• 5+ years of experience in regulatory compliance, insurance, securities, financial services, internal audit, risk management, testing, monitoring, or related areas, including 2+ years in insurance, registered investment adviser, retirement, investment, financial crimes, consumer affairs, regulatory change management, testing and monitoring, or other financial services compliance functions.
• Experience working with business partners, Investments, Risk, Legal, Compliance, Operations, Sales, Marketing, product teams, or other stakeholders to support compliant business practices and process improvements.
• Knowledge of applicable state insurance, NAIC, SEC, ERISA, DOL, IRS, AML, fraud, privacy, and other regulatory requirements relevant to assigned responsibilities.
• Knowledge of regulatory compliance concepts, control testing, monitoring practices, policy and procedure review, issue identification, and remediation processes.
• Ability to perform complex research and analyze and interpret regulatory requirements, policies, procedures, data, and business processes to identify risks, issues, trends, and solutions.
• Strong written and verbal communication, analytical, critical-thinking, problem-solving, organizational, prioritization, and attention-to-detail skills; ability to manage multiple priorities with minimal supervision.
• Proficiency using Microsoft Office tools.
• Legal authorization to work in the United States without immigration sponsorship or an employer of record for immigration employment purposes.

Nice to have

• Experience using the Aladdin guideline monitoring system.
• FINRA securities registrations, state insurance licenses, compliance certifications, or industry designations based on assigned responsibilities.

Culture & Benefits

• Collaborative environment focused on accountability, innovative thinking, inclusion, and work-life balance.
• Eligible employees may receive medical, dental, vision, disability, pension, 401(k) matching, employee stock purchase, and employee discount benefits.
• Paid time off starts at 160 hours annually in the first year, with ten paid holidays per year.
• Tuition reimbursement, career training and development, wellness coaching, parental leave, adoption assistance, backup care, and employee assistance programs.
• Employee resource groups, inclusion and diversity programs, volunteer PTO, matching gifts, recognition, and referral bonus programs.

Hiring process

• Official offers are sent through DocuSign following a verbal offer.