Compliance Associate (Fintech)

TL;DR

Compliance Associate (Fintech): Providing regulatory oversight and compliance advisory for Asset Management products with an accent on marketing material review, policy testing, and AI tool deployment. Focus on ensuring adherence to SEC and FINRA regulations, managing complex regulatory projects, and delivering compliance training to business teams.

Location: Must be based in Salt Lake City, UT, United States

Company

hirify.global is a leading global financial institution providing investment banking, securities, and investment management services.

What you will do

• Review marketing materials for Asset Management products to ensure compliance with regulatory standards.
• Perform periodic testing, surveillance, and forensic reviews of policies and procedures.
• Analyze new AI tools deployed across Asset Management, evaluating risks and providing advisory support.
• Organize and deliver compliance training to global business teams regarding regulatory requirements.
• Coordinate with Legal, Technology, and Operations teams to drive client service and new business initiatives.
• Evaluate potential client complaints and manage compliance violation tracking.

Requirements

• Master’s degree with 2 years of experience or Bachelor’s degree with 3 years of experience in Finance, Economics, Business, Law, or related field.
• Experience reviewing marketing materials for compliance with FINRA Rule 2210 and SEC Marketing Rule 206(4)-1.
• Familiarity with the Investment Advisers Act and Investment Company Act of 1940.
• Working knowledge of AI tools and their use cases in a financial context.
• Ability to manage multiple complex projects simultaneously and meet strict deadlines.
• Proficiency in Excel, including Vlookup, Xlookup, pivot tables, and macros.

Culture & Benefits

• Opportunity to work within a global, high-impact compliance division.
• Exposure to cutting-edge AI integration within financial regulatory frameworks.
• Professional development through long-term regulatory remediation and process enhancement projects.
• Inclusive work environment committed to equal opportunity and diversity.