Compliance Manager (Fintech)

TL;DR

Compliance Manager (Fintech): Develop and maintain a robust compliance program ensuring adherence to SEC, FINRA, and state regulations for a fintech wealth management platform with an accent on regulatory filings, internal audits, and training. Focus on leading compliance efforts, managing regulatory relationships, and adapting to evolving financial regulations.

Location: On-site at hirify.global Headquarters in McLean, VA, USA. Relocation to the US is available.

Company

hirify.global builds AI-powered wealth management solutions integrating investments, taxes, retirement, and estate planning into one platform.

What you will do

• Develop, implement, and maintain the firm’s compliance program aligned with government regulations.
• Monitor and enforce adherence to policies, procedures, and regulatory requirements.
• Conduct internal audits and risk assessments to ensure compliance.
• Oversee filings, disclosures, and reporting obligations with SEC, FINRA, IRS, and other entities.
• Lead compliance training programs for employees and management.
• Serve as primary liaison with regulatory bodies, auditors, and legal counsel.

Requirements

• Must have 12+ years of compliance experience in SEC-registered investment advisor and/or FINRA registered Broker Dealer environments.
• Strong understanding of SEC rules, including the Investment Advisers Act of 1940.
• Experience leading compliance programs in tech-forward environments.
• Series 7 and Series 24 licenses required.
• Bachelor's degree required; JD or relevant certification preferred.
• Excellent analytical, problem-solving, communication, and interpersonal skills.

Culture & Benefits

• 100% employer-covered medical insurance for employees, plus dental and vision coverage.
• 401(k) retirement savings program.
• Paid time off and most federal holidays.
• Comprehensive parental leave policy.
• Meals covered select days and monthly fitness stipend.
• Equity, career growth opportunities, and access to cutting-edge AI tools.
• Annual compensation reviews and boomerang program for entrepreneurial leave.