Compliance Manager/Officer (Fintech)

Location: Minneapolis, Minnesota; Charlotte, North Carolina is also listed as a location. Hybrid arrangement with at least four days per week in the office and up to one day working from home; approximately 20% travel.

Salary: $87,400–$120,200/year base pay.

Company

hirify.global is a diversified financial services company providing financial planning, asset management, insurance, and annuity services to individual, small business, and institutional clients.

What you will do

• Conduct required Branch Office and Office of Supervisory Jurisdiction inspections, including research, data analysis, interviews, and exit meetings.
• Evaluate field compliance supervision and identify potential advisor sales practice violations, red flags, trends, and other risks.
• Educate field members on regulatory topics, firm policies, supervisory responsibilities, best practices, and corrective actions.
• Escalate issues, communicate inspection results to field leadership, and serve as a point of contact for inspections.
• Write, deliver, and follow up on Commitment to Action plans resolving inspection findings.
• Partner with compliance, leadership, and other examiners to improve processes and support department-wide initiatives.

Requirements

• Bachelor’s degree or equivalent and 5+ years of relevant work experience.
• Knowledge of FINRA, SEC, and other regulatory rules and requirements, as well as industry and firm-specific risks.
• Ability to strategically focus branch office and OSJ examinations based on relevant risks and evaluate broad data sets.
• Investigative, interviewing, analytical, organizational, and problem-solving skills, including the ability to formulate practical solutions to technical issues.
• Ability to manage multiple priorities, meet time-sensitive deadlines, take initiative, work independently, and collaborate effectively.
• Leadership and relationship-building skills across corporate office and field groups, with excellent written and verbal communication skills.
• Series 9/10 or Series 24 required, or ability to obtain within corporate timeframes.
• Series 7 is preferred; 5+ years of industry experience may be considered in lieu of holding Series 7 at application, but it must be obtained within the allocated period after hiring.
• Valid U.S. work authorization that does not now or in the future require visa sponsorship.

Nice to have

• Experience in an audit function and familiarity with audit methodologies.
• Leadership experience.

Culture & Benefits

• Client-centric, relationship-based environment centered on in-person collaboration and face-to-face communication.
• Structured mentoring, career progression, diversity and inclusion, and work-life balance support.
• Benefits include vacation and sick time, 401(k), and health, dental, and life insurance.
• Potential variable compensation through bonuses, commissions, and/or long-term incentives depending on the role.