Senior Consultant | Regulatory and Compliance (Fintech)

Location: Hybrid; Charlotte, New York, Los Angeles, or Chicago, United States

Salary: USD $100,000–$140,000 per year

Company

hirify.global provides operational and regulatory services to asset managers, private wealth clients, corporates, and issuers, with over 50 years of expertise, 20 locations, and 2,000 colleagues.

What you will do

• Act as the primary day-to-day compliance contact for a portfolio of investment management clients.
• Lead regulatory filings, including Form ADV, Form 13, and other required submissions.
• Support regulatory examinations, compliance reviews, testing programs, and ongoing monitoring.
• Review marketing materials, trading activity, personal trading programs, and other compliance controls.
• Identify and mitigate regulatory risks while providing practical compliance advice.
• Coach and mentor junior Compliance Associates through training, feedback, and technical guidance.

Requirements

• Bachelor's degree or equivalent qualification.
• 3–5 years of regulatory compliance experience within a registered investment adviser, compliance consulting firm, law firm, bank, asset manager, or alternative investment manager.
• Strong understanding of the Investment Advisers Act of 1940 and SEC requirements for registered investment advisers.
• Experience managing Form ADV and other SEC regulatory filings.
• Experience conducting compliance monitoring, testing, annual compliance reviews, and regulatory risk assessments.
• Ability to independently manage multiple client relationships and compliance workstreams, using sound judgment on escalation matters.
• Experience supporting regulatory examinations and interacting professionally with regulators and external stakeholders.
• Experience reviewing, coaching, or mentoring junior compliance professionals.
• Proficiency in Microsoft Office, including Excel, Word, Outlook, Teams, and PowerPoint.

Nice to have

• Regulatory compliance qualification or related professional certification.
• Experience with MyComplianceOffice (MCO) and Global Relay.

Culture & Benefits

• Full-time hybrid work arrangement.
• Client-centric, ambitious, agile, collaborative, and ethical working principles.
• Equal opportunity employment and support available to make the application process easier.