Senior Registered Compliance Officer - Surveillance (Financial Services)

Location: Hybrid office environment on Tuesday, Wednesday, and Thursday in Cedar Rapids, Iowa; Denver, Colorado; or Philadelphia, Pennsylvania. Occasional travel of less than 10% may be required.

Salary: $75,000–$85,000 annually.

Company

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

What you will do

• Conduct risk-based surveillance of securities transactions, sales practices, outside brokerage accounts, and employee and registered representative activity.
• Develop and execute complex compliance monitoring, testing, reviews, risk assessments, and surveillance activities.
• Analyze business processes, policies, communications, transactions, complaints, disclosures, and other activities to identify risks, trends, and control gaps.
• Interpret laws, regulations, regulatory guidance, policies, and procedures to provide practical compliance guidance.
• Document findings, recommendations, management responses, evidence, alert dispositions, and escalations.
• Coordinate regulatory examinations, inquiries, audits, investigations, and information requests while identifying root causes and recommending corrective actions.

Requirements

• Bachelor’s degree in business, legal studies, risk management, compliance, or a related field.
• At least 5 years of experience in regulatory compliance, securities, financial services, risk management, internal audit, testing, monitoring, or a related area, including at least 2 years supporting broker-dealer, registered investment adviser, insurance, retirement, or investment compliance functions.
• FINRA Series 7 and 24 or Series 6 and 26, depending on broker-dealer activities; registration may be obtained within 6 months of the job entry date.
• Strong knowledge of securities and/or advisory products, applicable laws and regulations, regulatory expectations, firm policies, and compliance practices.
• Experience with regulatory examinations, complaints, surveillance, advertising review, branch inspections, supervisory controls, testing, monitoring, or issue remediation.
• Experience conducting complex research, analysis, documentation, and issue resolution.
• Strong written and verbal communication skills, including documenting findings, summarizing risks, explaining recommendations, and advising business partners and management.
• Ability to manage complex assignments with minimal supervision and appropriately escalate significant risks or decisions.
• Proficiency with Microsoft Office and compliance, workflow, surveillance, case management, reporting, or document management systems.
• Legal authorization to work in the United States without immigration sponsorship or employer-of-record immigration services is required.

Nice to have

• FINRA Series 65 or 66, or other FINRA registrations based on assigned responsibilities.
• Experience with FIS Protegent and/or NFS Wealthscape.

Culture & Benefits

• Collaborative workplace emphasizing accountability, innovation, diversity, inclusion, and work-life balance.
• Competitive pay and bonus eligibility.
• Pension plan, 401(k) match, employee stock purchase plan, insurance coverage, and employee discounts.
• Tuition reimbursement, career training, and development opportunities.
• Paid time off, paid holidays, parental leave, adoption assistance, backup care, and employee assistance programs.
• Wellness, employee resource group, inclusion and diversity, recognition, volunteer, and matching-gift programs.