Advisory Services-Compliance Analyst (Fintech)

TL;DR

Advisory Services-Compliance Analyst (Fintech): Ensuring products, procedures, and contracts comply with state and federal laws and internal standards with an accent on SEC and FINRA regulations. Focus on performing supervisory activities, conducting oversight research, and drafting compliance policies.

Location: Five-day per week in-office position in Boston, MA

Salary: $75,000–$100,000

Company

hirify.global is a financial services corporation dedicated to improving financial futures through retirement and insurance solutions.

What you will do

• Perform delegated supervisory activities, oversight, and surveillance including exception reporting research.
• Maintain branch-level supervisory books and records to ensure regulatory compliance.
• Assist managers with day-to-day compliance tasks regarding SEC, FINRA, and state securities and insurance rules.
• Draft, revise, and enforce internal policies and procedures for sales managers and representatives.
• Collaborate with the OSJ Oversight Director on special strategic projects.

Requirements

• 3-5 years of relevant compliance or securities experience within a broker/dealer, investment adviser, or financial services firm.
• FINRA Series 7 and 24 registrations required.
• Strong knowledge of securities and insurance rules, regulations, and retirement plan concepts.
• Proficiency with retail brokerage and advisory platforms.
• Excellent analytical, writing, and oral communication skills.

Nice to have

• Series 65 or 66 - IAR Designation (must be obtained within 6 months of hire).

Culture & Benefits

• Comprehensive health, dental, vision, and life insurance plans.
• 401(k) savings plan with up to 6% company matching.
• Employer-paid cash balance retirement plan (4%).
• Tuition reimbursement up to $5,250 per year.
• Generous paid time off, including 20 days PTO and nine company holidays.
• 40 hours of paid volunteer time per calendar year.