Senior Advisor, Compliance - Associate Activities (Financial Services)

Location: Hybrid in Saint Petersburg, Florida, United States. Travel is less than 25%.

Company

hirify.global is a financial services firm operating across securities, banking, investment, and financial markets.

What you will do

• Execute and oversee the Associate Activities compliance program, including Outside Business Activities, Political Contributions, Gifts and Entertainment, Mandatory Absence, Outside Investment Accounts, and Corporate Charitable Contributions.
• Perform exception processing, monitor first- and second-line activities, identify violations, create metrics and reports, and support program governance.
• Partner with Compliance, Supervision, Risk, Human Resources, and other functional areas to resolve complex compliance issues.
• Identify potential violations and liability, escalate issues to management, and implement controls and quality assurance processes.
• Research associate conflicts, respond to system and process inquiries, monitor internal reports, and address sensitive compliance matters.
• Adjust policies and procedures, prepare presentations, and participate in corporate policy discussions related to Associate Activities.

Requirements

• Extensive knowledge of securities and/or banking compliance concepts, practices, and procedures.
• Knowledge of SEC, FINRA, state securities regulators, FDIC, OCC, FFIEC, OTS, Federal Reserve, and state banking regulations as applicable.
• Knowledge of investment concepts, banking and finance principles, securities operations, and financial markets and products.
• Ability to oversee compliance programs, coordinate complex activities, align compliance processes with business processes, and provide compliance guidance.
• Ability to identify and implement controls and quality assurance processes, review materials, research issues, investigate irregularities, and make rule-based analytical decisions.
• Ability to gather information, identify trends and linkages, interpret regulations, recommend policy and procedural changes, and prepare written and oral reports and presentations.
• Ability to work independently and collaboratively, manage multiple deadlines in a fast-paced environment, maintain confidentiality, and communicate effectively at all organizational levels.
• Bachelor’s degree and a minimum of three years of experience in Compliance and/or the financial services industry preferred, or an equivalent combination of experience, education, and training approved by Human Resources.
• No licenses or certifications are required.

Nice to have

• Additional licenses or certifications demonstrating knowledge of industry regulations and concepts.

Culture & Benefits

• Hybrid workstyle with less than 25% travel.
• Benefits may include medical, dental, and vision coverage; life, critical illness, accident, and disability insurance.
• Retirement savings, paid vacation, holidays, sick leave, and parental leave may be available.
• Culture emphasizes developing professionally, collaboration, client-focused decisions, accountability, continuous improvement, integrity, independence, and a long-term perspective.
• People-first environment that values diverse backgrounds and authentic contributions.