Suitability Principal

TL;DR

Suitability Principal (Brokerage Compliance): Review complex, high-risk brokerage transactions and account maintenance documentation, including authorization of account actions and collaboration with legal on eligibility and privileges. Focus on ensuring accuracy, compliance, and risk management in advisor support scenarios.

Remote - US

Salary Range: $69,000-$90,500

Company

Broker-Dealer (BD) and Registered Investment Advisor (RIA) arm of hirify.global’s Wealth Management organization, providing concierge-level service to experienced advisors.

What you will do

• Conduct back-office reviews of complex brokerage transactions
• Deliver education and readiness in a rapidly evolving environment
• Provide exceptional service to advisors and their staff
• Contribute to strategic initiatives that simplify processes and enhance efficiency

Requirements

• FINRA Series 7 & 24 required at time of application
• 2+ years MMLIS experience OR 3+ years' experience with Brokerage/Advisory space
• High School Diploma

Nice to have

• Bachelor’s Degree
• 3+ years’ experience in suitability review
• Strong understanding of BD/RIA operational platforms and workflows
• Expertise in risk-based decisions, communication, multitasking, and continuous improvement

Culture & Benefits

• Collaborative team of about 20 associates focused on teamwork, precision, and improvement
• Regular meetings with In-Force Operations Team and one-on-one with manager
• Networking via Business Resource Groups (Asian, Hispanic/Latinx, African American, women, LGBTQ, veteran, disability-focused)
• Access to learning content on Degreed and other platforms
• Strong ethical business with industry-leading pay and benefits