Manager, Principal Review

Location: Based near the Boston office with expected onsite presence up to 2 days per week; United States-Remote is also listed.

Annual base salary: $71,090–$118,500 USD.

Company

hirify.global provides financial services focused on helping individuals and communities achieve better financial futures.

What you will do

• Lead, schedule, develop, hire, and cross-train the Principal Review team across products and advisor channels.
• Serve as the first escalation point for complex or contested reviews and perform reviewing-principal duties when needed.
• Maintain and execute Written Supervisory Procedures, apply Regulation Best Interest and DOL PTE 2020-02, and drive exception remediation.
• Run quality assurance sampling, reviewer calibration, service-level tracking, and desk performance reporting.
• Implement risk-tiered review, automated rules, straight-through processing, AI-assisted triage, and workflow testing.
• Support regulatory examinations, internal audits, Field Supervision activities, and peer supervision functions as business needs require.

Requirements

• Active FINRA Series 7 and Series 24 registrations.
• Series 66, or Series 65 with Series 63, or the ability to obtain the required registration within 120 days.
• 5+ years of broker-dealer or investment adviser experience in principal review, supervision, or oversight, including hands-on review across multiple product lines.
• 2+ years of people leadership or team-lead experience working with licensed staff.
• Working knowledge of FINRA Rules 3110 and 3120, Regulation Best Interest, and product-specific requirements for insurance and annuities, fixed income, and options.
• High School Diploma or GED required; a bachelor’s degree is preferred. High School Diploma/GED plus 2 years of experience may substitute for a bachelor’s degree.
• Ability to meet FINRA registration, background, fingerprint, and licensing requirements through hirify.global Advisors.
• Ability to support approximately 15–25% of responsibilities in a Field Supervision assignment.

Nice to have

• Experience in a dually registered broker-dealer/RIA environment, preferably with an independent advisor channel.
• Experience with review or supervision platforms such as Docupace, NetX360, Smarsh, or similar systems.
• Experience supporting regulatory examinations or internal audits and leading process, workflow, or system changes.
• Exposure to Field Supervision, inspections, OSJ oversight, trading, trade errors, fee billing, or money movement.
• FINRA Series 4 and/or Series 53.
• Experience applying automation to reduce routine work and increase capacity for judgment-based review.

Culture & Benefits

• Purpose-driven, inclusive workplace focused on financial opportunity, customer service, and collaboration.
• Health, dental, vision, and life insurance plans.
• 401(k) plan with company matching contributions up to 6% and an employer-paid cash balance retirement plan with a 4% contribution.
• Tuition reimbursement up to $5,250 per year.
• 20 days of paid time off, nine paid company holidays, a flexible Diversity Celebration Day, and 40 hours of paid volunteer time annually.