Chief Compliance Officer (Fintech)

Location: New York, United States; hybrid.

Company

hirify.global is a fast-growing fintech building a cross-border financial system for Latin America.

What you will do

• Own the SEC-registered investment adviser’s compliance program, including risk assessments, monitoring, testing, annual reviews, compliance calendars, and risk reporting.
• Support the FINRA New Member Application and broker-dealer launch by preparing supervisory procedures, regulatory materials, responses, membership-interview preparation, and readiness reviews.
• Build the supervisory framework for a fully disclosed introducing broker-dealer offering self-directed trading, including account and transaction reviews, testing, escalation processes, and annual reporting.
• Oversee compliance controls for automated, non-discretionary investment recommendations, including questionnaires, risk profiles, portfolio methodology, algorithm testing, change management, disclosures, and monitoring.
• Review marketing, performance presentations, promotions, app content, communications, regulatory filings, registrations, conflicts, customer protection, records, privacy, complaints, and clearing operations.
• Lead SEC and FINRA examinations and inquiries, coordinate audits and remediation, train employees, and partner with Product, Engineering, Operations, Legal, the BSA/AML Officer, and outsourced FINOP.

Requirements

• 10+ years of progressive securities compliance experience, including prior CCO service for an SEC-registered investment adviser or FINRA broker-dealer.
• FINRA Series 24 qualification.
• Direct experience supporting or leading a FINRA New Member Application, including supervisory procedures, regulatory responses, membership interviews, and launch preparation.
• Strong knowledge of the Investment Advisers Act, Securities Exchange Act, SEC adviser requirements, and FINRA rules covering supervision, communications, records, registrations, and customer protection.
• Experience with fully disclosed introducing broker-dealers and clearing firms, including the division of compliance and operational responsibilities.
• Hands-on experience with RIA annual reviews, marketing reviews, conflicts controls, codes of ethics, regulatory filings, and examinations.
• Experience with digital investment platforms, automated advice, and self-directed brokerage, including translating requirements into product and technology controls.
• Ability to coordinate with a dedicated BSA/AML Officer and outsourced FINOP while maintaining ownership of the securities compliance program.
• Sound judgment, strong writing, and confidence engaging regulators, challenging decisions, and explaining practical solutions to senior leadership and technical teams.

Culture & Benefits

• Hybrid working arrangement.
• Competitive salary, equity, and a sign-on equity bonus.
• Flexible PTO and a trust-first culture.
• Access to current technology and a modern tool stack.
• Work with a high-calibre team building financial products across Latin America.