Compliance Lead, Broker-Dealer & Investment Adviser (Fintech)

TL;DR

Compliance Lead, Broker-Dealer & Investment Adviser (Fintech): Managing compliance programs for Registered Investment Advisor (RIA) and Broker-Dealer (BD) entities with an accent on AI governance frameworks and regulatory adherence. Focus on driving exam readiness, overseeing supervisory architecture, and ensuring defensibility under SEC and FINRA scrutiny.

Location: Hybrid in Denver, San Francisco, or New York City (expected in office 2-3 days per week)

Salary: $156,170 – $226,724 per year

Company

hirify.global is a fintech platform that supports small businesses by automating payroll, health insurance, 401(k)s, and HR functions.

What you will do

• Own and mature the end-to-end compliance program for BD and RIA entities, including AI governance frameworks.
• Act as the primary lead for all FINRA and SEC regulatory matters, filings, examinations, and supervisory control testing.
• Develop and maintain comprehensive policies covering advertising, Reg SP, complaints, BCP, and the Code of Ethics.
• Supervise AI tools used across the compliance program, ensuring outputs are validated by qualified licensed humans.
• Manage employee registrations and licensing (U4/U5, CRD, Form BD, ADV) across both entities.
• Lead suitability, rebalancing, and custody review and testing for the RIA.

Requirements

• 7+ years of compliance experience at a FINRA-registered broker-dealer and SEC-registered investment adviser.
• Active SIE, Series 7, and Series 24 licenses.
• Deep working knowledge of FINRA Rules, SEC Rules (Marketing Rule, Reg S-P, Reg S-ID), GLBA, and the Bank Secrecy Act.
• Proven track record owning regulatory filings (Form BD, ADV, U4/U5, CRS) and leading exam preparations.
• Experience with compliance technology (e.g., ComplySci, Global Relay) and AI governance in regulated environments.
• Must be based in Denver, San Francisco, or New York City to meet hybrid office requirements.

Culture & Benefits

• Competitive base pay, equity (RSUs), and comprehensive benefits package.
• Hybrid work model with a balance of remote and in-office collaboration.
• Opportunity to work at the intersection of fintech, product innovation, and AI governance.
• Inclusive culture focused on supporting the small business economy.