Broker Dealer Compliance- Sr. Consultant

Location: Chicago, IL, United States; hybrid work arrangement

Salary: $83,100–$141,300 USD annually

Company

hirify.global provides wealth management, asset servicing, asset management, and banking services to individuals, families, corporations, and institutions.

What you will do

• Lead projects and independently remediate compliance issues across business channels.
• Advise business partners and senior management on compliance programs, laws, regulations, and regulatory developments.
• Develop compliance programs and training requirements, and serve as a contact point for compliance inquiries.
• Draft and maintain policies, procedures, compliance manuals, codes of conduct, and practice guidelines.
• Perform compliance inspections and controls testing, track findings, and support regulatory examinations and inquiries.
• Manage recurring compliance operations, risk assessments, registrations, background checks, communications and social media reviews, and auditor interactions.

Requirements

• 10 or more years of experience, preferably in compliance or risk management, or equivalent related experience.
• Series 24 FINRA registration and Series 63 or 66 state licensing required.
• Series 65/66, Series 4, and Series 53 registration must be completed within 180 days of employment.
• In-depth knowledge of FINRA, SEC, Investment Advisers Act regulations, and applicable local laws.
• Knowledge of risk management and strategic business goals.
• Strong communication and analytical skills, including the ability to analyze information and apply regulations.
• Ability to author clear policies, procedures, reports, and regulatory responses.
• Ability to train and present effectively to audiences at all levels, including senior management.
• Ability to design and implement projects from concept through completion, manage multiple priorities with minimal oversight, and build credibility across the organization.

Culture & Benefits

• Flexible and collaborative work culture with accessible senior leaders and opportunities for internal movement.
• Retirement benefits including a 401(k) and pension, plus medical, dental, vision, spending accounts, and disability coverage.
• Paid time off, parental and caregiver leave, life and accident insurance, and additional well-being benefits.
• Discretionary bonus program that may include an equity component.
• Inclusive workplace with community and philanthropy initiatives.
• Applicants must be authorized to work in the U.S. without current or future employment-based visa sponsorship; visa sponsorship is not available.