Senior Registered Compliance Officer - Testing (Hybrid)

Location: Hybrid, requiring three days per week in one of the hub locations: Philadelphia, Pennsylvania; Cedar Rapids, Iowa; or Denver, Colorado. Occasional travel may be required. Relocation assistance is not provided.

Salary: $76,000–$86,000 annually, plus potential eligibility for an annual bonus.

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

• Develop and execute complex compliance monitoring, testing, reviews, and risk-based assessments.
• Analyze business processes, policies, communications, transactions, complaints, disclosures, and other activities to identify risks, trends, issues, and control gaps.
• Interpret laws, regulations, regulatory guidance, policies, and procedures and provide practical compliance guidance to business partners.
• Perform or oversee transaction monitoring, exception reporting, outside brokerage account surveillance, and AML reviews; evaluate exceptions and escalate potential risks.
• Document findings, recommendations, management responses, and supporting evidence.
• 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 SEC and FINRA rules and regulations concerning securities and/or advisory products, related laws, 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 performing 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 escalate significant risks or decisions appropriately.
• Proficiency with Microsoft Office and compliance, workflow, surveillance, case management, reporting, or document management systems.
• Must possess legal authorization to work in the United States without immigration sponsorship or an employer of record for immigration employment purposes.

Nice to have

• FINRA Series 65 or 66, or other FINRA registrations based on assigned responsibilities.

Culture & Benefits

• Full-time hybrid employment with three required office days per week and occasional travel.
• Benefits may include medical, dental, vision, disability insurance, pension, 401(k) match, employee stock purchase plan, and employee discounts.
• Paid time off starts at 160 hours annually in the first year, with ten paid holidays per year.
• Tuition reimbursement, career training and development, wellness, parental leave, adoption assistance, and backup care programs are available to eligible employees.
• Employee resource groups, inclusion and diversity programs, volunteer PTO, matching gifts, recognition, and referral programs are offered.