Compliance Lead / CCO (Fintech)

TL;DR

Compliance Lead / CCO (Fintech): Leading the development and oversight of the broker-dealer compliance program for North America Assets with an accent on regulatory engagement and framework implementation. Focus on designing supervisory controls, managing relations with FINRA and the SEC, and ensuring compliant product scaling.

Location: New York, USA

Salary: $193,000 – $277,000 yearly

Company

hirify.global is a global technology company building the most efficient way to move and manage money across borders.

What you will do

• Serve as the Chief Compliance Officer (CCO) for the U.S. broker-dealer entity, holding ultimate responsibility for its regulatory framework.
• Design and implement compliance policies, procedures, and governance for FINRA-regulated activities in the U.S. and Canada.
• Lead regulatory engagement with FINRA, the SEC, and state regulators, including examinations and filings.
• Provide senior 2LoD oversight and advisory support to Product, Engineering, and Operations teams for compliant product scaling.
• Manage the state registration and licensing program and serve as the designated AML Officer for the US Assets entity.
• Develop monitoring, testing, and escalation processes for the broker-dealer compliance control framework.

Requirements

• 12+ years of experience in broker-dealer regulatory compliance, investment compliance, or equivalent financial services.
• Active FINRA Series 7, 24, and 63 registrations required.
• Deep working knowledge of FINRA and SEC rules and regulatory examination standards.
• Demonstrated experience leading regulatory engagement, including examinations and licensing approvals.
• Proven track record of building or materially enhancing a broker-dealer compliance program from the ground up.
• Strong stakeholder management skills to work with senior leadership and external regulators.

Nice to have

• Experience with Canadian investment or Assets-related regulatory requirements.

Culture & Benefits

• Diverse, equitable, and inclusive international team environment.
• Mission-driven culture focused on removing borders from the global financial system.
• Collaborative work environment that celebrates differences and empowers employees.