Regulatory Operations Associate (Fintech)

TL;DR

Regulatory Operations Associate (Fintech): Providing compliance and regulatory assistance for financial services firm customers with an accent on SEC and state regulator filings. Focus on managing Form ADV, Form U4, and EDGAR submissions to ensure regulatory adherence.

Location: Remote (Must be based in the United States)

Salary: $60,000 – $75,000 base

Company

hirify.global is a leading provider of compliance SaaS and consulting services for the global financial services sector.

What you will do

• Assist investment advisers and financial services customers with regulatory obligations.
• File annual and other-than-annual amendments for Form ADV.
• Process Form U4 applications for investment adviser and broker-dealer representatives.
• Coordinate with state and SEC regulators to secure firm registrations.
• Submit SEC EDGAR filings, including Form 13F, 13H, and Form ID.
• Handle Form D, blue sky filings, and Form PF for private funds, hedge funds, and venture capital advisers.

Requirements

• Must be authorized to work in the United States (no sponsorship available).
• Proficiency in Microsoft Office Suite (Excel, Word, Outlook).
• Strong problem-solving, analytical thinking, and multitasking skills.
• Excellent interpersonal skills for managing stakeholder relationships.
• Exceptional organizational and time management abilities.

Nice to have

• Experience with FINRA/IARD, WebCRD, and SEC’s EDGAR system.
• Proficiency in Salesforce.

Culture & Benefits

• Full-time remote work environment.
• Collaborative, client service-oriented team culture.
• Equal Opportunity Employer.
• Access to proprietary compliance software tools like MyRIACompliance and ComplianceGuardian.