Compliance Associate (Private Wealth Management)

TL;DR

Compliance Associate (Private Wealth Management): Monitoring and conducting surveillances to ensure adherence to regulatory and internal controls within the Private Wealth Management division with an accent on financial product suitability and risk assessment. Focus on advising business units, reviewing marketing materials, and leading regulatory compliance projects.

Location: Must be based in San Francisco, CA

Salary: $85,000 - $140,000

Company

hirify.global is a leading global investment banking, securities, and investment management firm founded in 1869.

What you will do

• Conduct surveillance and monitoring to ensure compliance with regulatory and internal controls.
• Assess the suitability of financial products and transactions for a diverse range of clients.
• Review marketing materials to ensure regulatory alignment before client distribution.
• Advise Private Wealth Management business units on complex regulations, policies, and client-related issues.
• Collaborate daily with Legal, Operations, and Divisional Compliance teams.
• Participate in US and global compliance projects and strategic initiatives.

Requirements

• Bachelor’s degree required.
• Three to five years of relevant experience in legal, regulatory, or compliance roles within the financial industry.
• Strong analytical and risk assessment skills.
• Excellent interpersonal skills with the ability to influence decisions and build consensus.
• Must hold or be willing to pass Series 7, 63, 9, and 10 exams.
• Ability to work effectively under pressure with minimal supervision.

Culture & Benefits

• Commitment to diversity, inclusion, and professional growth.
• Access to firmwide networks, training, and development programs.
• Comprehensive wellness, personal finance, and mindfulness offerings.
• Supportive environment focused on ethical standards and risk management.