Regulatory & Compliance Assistant Vice President (Fintech)

TL;DR

Regulatory & Compliance Assistant Vice President (Fintech): Leading the review and approval process for marketing materials with an accent on SEC and FINRA compliance for private funds. Focus on ensuring adherence to advertising rules, updating internal policies, and collaborating with distribution teams to provide compliance guidance.

Location: Must be based in Salt Lake City, Utah. Hybrid role: In-office Monday-Thursday, remote on Friday.

Salary: $85,000–$110,000

Company

hirify.global is a leading financial technology platform providing access to private market investments for the wealth management industry.

What you will do

• Review marketing materials, client communications, and research reports for regulatory compliance.
• Perform compliance testing and monitoring for marketing-related initiatives.
• Provide compliance guidance to distribution and marketing teams on new initiatives.
• Maintain and update policies and procedures based on regulatory developments.
• Develop and conduct company-wide training to meet SEC and FINRA obligations.
• Assist in preparing for and responding to regulatory inquiries and audits.

Requirements

• Bachelor's degree in a related field.
• 5+ years of experience, preferably with both broker-dealer and registered investment advisor backgrounds.
• Strong knowledge of Rule 206(4)-1 of the Investment Advisers Act of 1940 and FINRA marketing regulations.
• Experience with alternative investments, specifically private funds.
• Understanding of compliance restrictions regarding private placements and registered products.
• Excellent verbal and interpersonal communication skills.

Nice to have

• JD degree.

Culture & Benefits

• Comprehensive benefits package including subsidized healthcare, dental, and vision.
• Employer-matched retirement plan.
• Parental leave and virtual mental health counseling.
• Unlimited paid time off (PTO).
• Equity participation for all full-time employees.
• Annual performance bonus.