Senior Compliance Officer (Fintech)

TL;DR

Senior Compliance Officer (Fintech): Managing investment compliance for the Americas equity business with an accent on regulatory oversight, pre-trade exception monitoring, and contract analysis. Focus on ensuring operational integrity within the Charles River OMS, mitigating financial risk, and partnering with portfolio management to support complex investment strategies.

Location: Must be based in Atlanta, Georgia. Role requires a hybrid schedule with at least four days per week in the office.

Salary: $90,000–$100,000/year.

Company

hirify.global is a leading independent global investment firm dedicated to providing diverse investment strategies and vehicles to clients worldwide.

What you will do

• Review and resolve pre-trade compliance exceptions within the Charles River OMS.
• Investigate and validate overnight alerts while ensuring accurate breach logging and reporting.
• Analyze client IMA and regulatory investment restrictions for new and existing portfolios.
• Collaborate with Product and Legal teams to ensure robust controls for fund and ETF launches.
• Partner with portfolio management to test new investment ideas and instruments.
• Provide solution-oriented guidance to trading, legal, and operations stakeholders.

Requirements

• Bachelor’s degree in accounting, finance, or a related field.
• Minimum 3 years of experience in the asset management industry.
• Strong knowledge of domestic and international securities laws (e.g., 1940 Act, UCITS).
• Experience with trading or compliance systems such as Charles River or Aladdin.
• Must be authorized to work in the United States.
• Excellent analytical, problem-solving, and communication skills.

Nice to have

• FINRA Series 6 or 7 registration.
• Professional certification in a related compliance field.

Culture & Benefits

• Comprehensive health and wellbeing benefits.
• 401(k) matching program (100% up to 6%).
• Flexible paid time off and parental leave.
• Employee stock purchase plan.
• Collaborative office-based environment focused on professional growth.