Senior Compliance Analyst (Fintech)

TL;DR

Senior Compliance Analyst (Fintech): Overseeing regulatory compliance for marketing, advertising, and client reporting with an accent on SEC and FINRA regulations. Focus on analyzing communications across multiple delivery channels, providing compliance guidance to sales teams, and managing regulatory policy repositories.

Location: Hybrid (Charlotte or Austin, US)

Company

hirify.global is a global investment firm specializing in evidence-based investing and managing regulatory environments across the globe.

What you will do

• Analyze marketing and firm communications across websites, print, and RFPs to ensure compliance with regulations and policies.
• Collaborate with marketing and product staff to provide feedback on webcasts and conference presentations.
• Provide communications review and surveillance support for social media channels.
• Advise sales and marketing teams on compliance-related issues and regulatory requirements.
• Assist with annual compliance testing, new product launches, and drafting operational procedures.
• Administer compliance software and coordinate departmental training sessions.

Requirements

• Bachelor’s degree and 5+ years of professional experience, with 2+ years specifically in a compliance role.
• Deep understanding of the financial services industry, including SEC and FINRA regulations, Investment Advisers Act, and Investment Company Act.
• Strong analytical mindset with a focus on data synthesis and quality results.
• Exceptional interpersonal skills and the ability to communicate effectively across all organizational levels.
• Must be based in or able to work in Charlotte or Austin (Hybrid).
• This role is not eligible for immigration sponsorship.

Nice to have

• Series 7 and Series 24 certifications (or the ability to complete Series 24 within one year of hire).

Culture & Benefits

• Comprehensive benefits packages to support employees and their families.
• Dedicated educational initiatives for professional growth.
• Commitment to equal opportunity and a diverse, inclusive workplace.
• Hybrid work model offering a balance between office and remote work.