Compliance Officer, Conflicts Management

Location: New York, NY, US; hybrid working options

Base salary: $110,000–$140,000 per year; bonus eligible

Company

hirify.global supports ISS STOXX, a capital-markets information and technology organization delivering research, data, and technology solutions across indices, corporate governance, sustainability, cyber risk, and fund intelligence.

What you will do

• Lead the design, implementation, and continuous enhancement of information-barrier and conflicts-of-interest frameworks.
• Monitor controls, oversee reviews and escalations, advise business units, and drive breach remediation through root-cause analysis and corrective action plans.
• Identify and mitigate compliance risks across registered investment adviser activities and contribute to Rule 206(4)-7 monitoring and testing.
• Support investigations, incident handling, recordkeeping, SEC examinations, regulatory inquiries, audits, and Form ADV disclosures.
• Monitor regulatory developments, prepare reporting for senior management and governance bodies, and provide risk-based compliance advice.
• Support due diligence questionnaires and RFPs and deliver targeted compliance training.

Requirements

• Ideally 5–8 years of experience in senior compliance, risk management, legal, or regulatory roles within financial services, including significant experience at an SEC-registered investment adviser or in a highly regulated environment.
• Knowledge of the Investment Advisers Act and related SEC rules.
• Strong expertise designing and operating conflicts-of-interest and information-barrier frameworks.
• Familiarity with the COSO Three Lines of Defense Model.
• Excellent analytical, judgment, communication, and stakeholder-management skills.
• Ability to combine a systemic compliance approach with pragmatism and business orientation, maintain attention to detail, operate strategically, and manage competing priorities.
• High integrity and commitment to ethical standards and professional conduct.
• Ability to work effectively in a global, matrixed organization and collaborate with colleagues across the globe.
• At least a Juris Doctor degree or a bachelor’s degree in Finance, Business, or a related field.

Nice to have

• Previous experience at the SEC or another regulatory agency, including exposure to SEC examinations and enforcement.
• Relevant professional certification such as CFA, CPA, or an equivalent compliance certification.

Culture & Benefits

• Hybrid working options in a centrally located Midtown office near Grand Central Station and Port Authority.
• Medical, dental, and vision coverage.
• 401(k) with company matching up to 9%, including a Safe Harbor contribution.
• Flexible Spending Account, commuter benefits, generous paid time off, volunteer day, and paid parental leave.
• Culture focused on diverse perspectives, creativity, innovation, and impact in capital markets.