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

TL;DR

ETF & 1940 Act Registered Funds Compliance Officer (Fintech): Overseeing compliance for investment advisers supporting ETF and 1940 Act Registered Funds with an accent on regulatory frameworks, risk identification, and program implementation. Focus on designing compliance controls under Rule 206(4)-7 and Rule 38a-1, managing SEC/FINRA interactions, and advising on product structuring.

Location: Hybrid (New York, NY); must work in office Monday-Thursday

Salary: $150,000–$175,000

Company

hirify.global is a financial technology platform specializing in alternative investments and registered funds.

What you will do

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

Requirements

• 10+ years of compliance experience in the financial services industry.
• Deep expertise in U.S. securities laws (Investment Company Act of 1940, Investment Advisers Act, etc.).
• Proven experience with SEC, FINRA, and NFA regulations and regulatory examinations.
• Bachelor’s degree (Law Degree or MBA preferred).
• Must be based in New York, NY for hybrid office attendance (Mon-Thu).
• FINRA Series 7 and 24 licenses are preferred.

Culture & Benefits

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