Compliance Consultant

TL;DR

Compliance Consultant (Financial Services): Provide registered principal support to Regional Vice President, including branch and representative inspections, oversight of books and records, and support for new representative onboarding with an accent on compliance with applicable rules and regulations. Focus on identifying gaps in supervision processes, designing and implementing enhanced processes, and testing new technologies and automation tools.

Location: Work-from-home with required travel within the Midwest (up to 30%). Ideal candidate resides in the Midwest and holds active Series 7 and Series 24 licenses or can obtain them within three months of hire.

Salary: $88,470 - $110,590 USD

Company

hirify.global is committed to fighting for everyone's opportunity for a better financial future through bold actions and an inclusive culture.

What you will do

• Conduct annual branch and registered representative inspections.
• Review books and records, including email, gifts, correspondence, and advertising.
• Oversee personal securities transactions and outside business activities.
• Support onboarding of new registered representatives and associated persons.
• Test, implement, and support new technologies and automation tools.
• Identify gaps or inefficiencies in compliance processes through risk reviews, testing, and regulatory analysis.
• Design, implement, and document new or enhanced supervision processes.

Requirements

• FINRA Series 7 and Series 24 securities licenses.
• Strong verbal, written, and interpersonal communication skills.
• Working knowledge of the financial services industry.
• Strong organizational and time management skills.
• Proficiency with Microsoft Office (Outlook, PowerPoint, Excel, Word).
• High attention to detail, analytical and problem-solving skills.

Nice to have

• Bachelor’s Degree or equivalent experience.
• Experience using Global Relay, Proofpoint, StarCompliance, RegEd, RedOak, and Microsoft CoPilot.
• Experience using Artificial Intelligence for supervision and compliance.

Culture & Benefits

• Health, dental, vision, and life insurance plans.
• 401(k) Savings plan with up to 6% company matching.
• Voya Retirement Plan – employer paid 4% cash balance.
• Tuition reimbursement up to $5,250/year.
• Paid time off: 20 days PTO, nine company holidays, flexible Diversity Celebration Day.
• Paid volunteer time: 40 hours per year.