Compliance Registration And Onboarding Associate (Fintech)

TL;DR

Compliance Registration and Onboarding Associate (Fintech): Managing regulatory filings and onboarding processes for FINRA member entities with an accent on maintaining compliance with SEC and FINRA standards. Focus on streamlining registration workflows, supporting registered representatives, and implementing process improvements to enhance operational scalability.

Location: Must be based in Denver, CO, Westlake, TX, or Lake Mary, FL with in-person attendance required at least 3 days per week.

Salary: $27 - $37 USD per hour (based on location zone), plus bonus and equity.

Company

hirify.global is a mission-driven fintech company democratizing finance for all through innovative technology and accessible financial services.

What you will do

• Support regulatory filing needs for FINRA members, including Forms U-4, U-5, and NRF.
• Maintain and update documentation for registered and associated persons in compliance with SEC Rule 17a-3.
• Partner with the People Team to manage new hire onboarding, background checks, and fingerprinting.
• Respond to inquiries and provide guidance to registered and associated persons regarding licensing.
• Develop and implement process improvements to increase the quality and scalability of registration tasks.
• Maintain internal SOPs and reference resources for compliance operations.

Requirements

• Bachelor’s degree in a related field.
• 2+ years of experience in Compliance, Customer Experience, or a related Brokerage function.
• Strong analytical skills and attention to detail.
• Ability to work independently as a self-starter.
• Must be able to work onsite at least 3 days per week in Denver, Westlake, or Lake Mary.
• High emotional intelligence and strong communication skills.

Nice to have

• Strong understanding of FINRA Registration and Rules.
• Active FINRA Licensing.
• Familiarity with FINRA CRD and Superset.
• Experience utilizing AI tools to increase role impact.

Culture & Benefits

• 100% paid health insurance for employees with 90% coverage for dependents.
• Performance-driven compensation including bonus programs and equity ownership.
• 401(k) matching and employer-paid life and disability insurance.
• Flexible lifestyle wallet for wellness and learning expenses.
• Comprehensive time off including parental leave, sick time, and company holidays.