Compliance Analyst (Fintech)

Location: Fort Mill/Charlotte, United States; other location: Tempe, United States. Full-time position.

Pay range: $63,860.00–$106,399.00 annual base salary.

Company

hirify.global is a U.S. wealth management firm providing advisor affiliation models, investment solutions, fintech tools, and practice management services to financial advisors and institutions.

What you will do

• Review, approve, and process ADV Part 2B disclosures for new advisors.
• Review and process updates to ADV Part 2B disclosures for existing advisors.
• Provide customer-focused service to financial advisors.
• Collaborate with the Investment Advisory Compliance team and other departments on ADV Part 2B requests and related compliance tasks.
• Conduct regulatory research, prepare reports, and support special projects.

Requirements

• Bachelor’s degree.
• 3+ years of experience in the financial services industry.
• Proficiency with Microsoft Office, especially Outlook, Teams, Excel, and Word.
• Strong written and oral communication skills.
• High-level analytical and problem-solving skills.
• Ability to comply with ADV Part 2B requirements and applicable SEC and FINRA regulations governing advisory business activities.

Nice to have

• FINRA licenses such as Series 7, Series 66, or Series 24.
• Other industry certifications or designations.
• Customer service experience.

Culture & Benefits

• Collaborative, fast-paced, team-oriented work environment.
• Emphasis on integrity, creativity, continuous improvement, and client success.
• 401(k) matching and health benefits.
• Employee stock options, paid time off, and volunteer time off.

Hiring process

• Applicants must apply through the LPL application process.
• LPL communicates with applicants directly from an @lplfinancial.com email address.
• LPL does not conduct interviews through online chatroom forums or request payment or bank or credit card information during interviews.