ETF & 1940 Act Registered Funds Compliance Officer, Vice President (Fintech)

TL;DR

ETF & 1940 Act Registered Funds Compliance Officer, Vice President (Fintech): Overseeing compliance for investment advisers supporting ETFs and Registered Funds with an accent on SEC, NFA, and CFTC regulations. Focus on designing and maintaining compliance programs, monitoring regulatory developments, and leading product launches.

Location: Hybrid in Salt Lake City, Utah (Must be in office Monday-Thursday)

Salary: $125,000 – $155,000

Company

hirify.global is a fintech platform providing technology and services for the alternative investment industry.

What you will do

• Oversee compliance for ETF and 1940 Act Registered Funds and their investment advisers.
• Design and maintain compliance programs under Rule 206(4)-7 and Rule 38a-1.
• Advise Product, Portfolio Management, and Operations teams on product structuring and disclosures.
• Lead compliance efforts for ETF and Registered Funds launches from concept to execution.
• Conduct pre- and post-trade compliance monitoring and portfolio guideline testing.
• Coordinate compliance reviews of third-party service providers such as custodians and auditors.

Requirements

• Bachelor’s degree (Law Degree or MBA preferred).
• 10+ years of compliance experience in financial services, specifically with ETFs, derivatives, and alternative assets.
• Deep knowledge of U.S. securities laws (Investment Company Act of 1940, Investment Advisers Act, SEC, CFTC, NFA, and FINRA).
• Experience with regulatory examinations and investigations with the SEC, FINRA, and NFA.
• Ability to operate in a fast-paced environment and prioritize complex projects.
• Based in or able to work in Salt Lake City, Utah for the required hybrid schedule.

Nice to have

• Prior Broker or Dealer knowledge.
• FINRA Series 7 and 24 licenses.

Culture & Benefits

• Comprehensive package including base salary, equity, and annual performance bonus.
• Employer-matched retirement plan.
• Subsidized healthcare with 100% employer-paid dental, vision, and virtual mental health counseling.
• Unlimited paid time off (PTO) and parental leave.
• Hybrid work flexibility with remote Fridays.