Sr. Advisor, Regulatory Reporting and Operations Compliance

Location: Saint Petersburg, Florida, United States; hybrid workstyle; less than 25% travel.

Company

hirify.global is a financial services firm focused on securities, banking, brokerage, and investment services.

What you will do

• Oversee compliance programs for an assigned business area and align procedures with business processes and risk levels.
• Direct updates to compliance policies, procedures, controls, and quality assurance processes.
• Partner with Operations, Risk, Legal, Technology, and business stakeholders on initiatives, control enhancements, remediation, and process improvements.
• Research regulatory requirements, interpretive guidance, industry practices, and enforcement actions; investigate potential irregularities.
• Monitor internal reports, review compliance documentation, and escalate potential violations or liability to senior management.
• Prepare reports and presentations for management and coordinate responses to regulatory agency inquiries.

Requirements

• Bachelor’s degree and a minimum of three years of experience in compliance and/or the financial services industry preferred.
• Equivalent combinations of experience, education, and training approved by Human Resources may be considered.
• Knowledge of securities and/or banking compliance reviews, brokerage and financial operations, financial markets, and investment concepts.
• Knowledge of SEC, FINRA, MSRB, state securities regulators, OCC, and Federal Reserve rules and regulations.
• Ability to interpret regulations, recommend policy and procedural changes, make rule-based and analytical decisions, and maintain current knowledge of industry requirements and best practices.
• Ability to manage multiple priorities under pressure, work independently and collaboratively, communicate with all organizational levels, facilitate meetings, maintain confidentiality, and build effective working relationships.

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, vision, life, critical illness, accident, disability, retirement savings, paid time off, holidays, sick leave, and parental leave.
• Guiding behaviors include developing, collaborating, deciding, delivering, and improving, with emphasis on client-first service, integrity, independence, and accountability.
• People-first, equal-opportunity workplace that values diverse backgrounds and authentic contributions.