Director Personal Trading & Compliance (Fintech)

TL;DR

Director Personal Trading & Compliance (Fintech): Leading the Code of Ethics and personal trading oversight programs for hirify.global’s advisory and broker-dealer businesses with an accent on regulatory compliance, risk mitigation, and team leadership. Focus on ensuring adherence to SEC and FINRA regulations, driving automation initiatives, and fostering a culture of ethical conduct across the organization.

Location: Must be based in the U.S. (Remote - Nationwide)

Salary: $125,400–$181,875

Company

hirify.global is a financial services firm dedicated to helping customers achieve financial freedom through flexible career paths and a commitment to well-being.

What you will do

• Oversee daily monitoring of personal trading for Access Persons and Covered Associates.
• Administer the Code of Ethics and ensure full compliance with SEC, FINRA, and internal policies.
• Lead, coach, and develop a team of Compliance professionals.
• Partner with Legal and Risk leaders to embed compliance expectations into decision-making.
• Track and report key program metrics, escalating issues and recommending remediation.
• Collaborate with technology teams to enhance compliance systems and automation.

Requirements

• Must be authorized to work for any employer in the U.S. (no sponsorship available).
• Bachelor’s degree or equivalent experience (law degree preferred).
• 8+ years of compliance experience under the Investment Advisers Act, Investment Company Act, Exchange Act, and FINRA rules.
• Strong background managing personal trading and Code of Ethics programs.
• Demonstrated leadership managing compliance or risk teams.
• Excellent communication, analytical, and relationship-building skills.

Nice to have

• FINRA Series 6, 7, 24, or 65 licenses.
• Experience leading compliance technology or automation initiatives.
• Familiarity with AI tools and data-driven compliance solutions.
• Prior experience presenting to boards or senior committees.

Culture & Benefits

• Comprehensive medical, dental, vision, and life insurance.
• 401(k) plan with company matching up to 6%.
• Generous paid time off, company holidays, and floating holidays.
• Tuition reimbursement up to $5,250/year.
• Paid volunteer time (16 hours per year).
• Leave of absence programs including paid parental leave and disability coverage.