Compliance Manager (Fintech)

TL;DR

Compliance Manager (Fintech): Managing and executing the compliance program for RIA and BD entities with an accent on regulatory testing, surveillance, and AI governance. Focus on ensuring defensibility under SEC and FINRA scrutiny while driving operational efficiency through technology and human oversight.

Location: Must be based in or able to commute to Denver, San Francisco, or New York City (Hybrid: 2-3 days/week in office)

Salary: $110,640–$164,792/yr (varies by location)

Company

hirify.global is a mission-driven company providing payroll, benefits, and HR services to over 500,000 small businesses across the United States.

What you will do

• Lead and maintain FINRA state registration obligations and support employee filings.
• Execute the annual compliance testing cycle including AML, advertising, and cyber security.
• Manage electronic communications surveillance and compliance tool configurations.
• Oversee advertising and collateral approvals in accordance with FINRA submissions.
• Contribute to AI-focused enhancements and ensure AI tools meet supervisory standards.
• Serve as a liaison with compliance consultants and support regulatory exams.

Requirements

• Must have active SIE, Series 7, and Series 24 licenses.
• 5+ years of compliance experience at a FINRA-registered broker-dealer and SEC-registered investment adviser.
• Deep knowledge of FINRA and SEC rules, including Marketing Rule, Reg S-P, and Reg S-ID.
• Hands-on experience with supervisory control testing and advertising review.
• Familiarity with compliance technology such as ComplySci or Global Relay.
• Strong written communication skills for documenting work to withstand regulatory scrutiny.

Culture & Benefits

• Competitive base pay, benefits, and equity (RSUs) for all full-time employees.
• Active engagement with AI tools to expand team capacity and professional fluency.
• Commitment to a diverse, inclusive workplace and equal opportunity employment.
• Hybrid work model with designated office days to foster collaboration.
• Support for reasonable accommodations for qualified individuals with disabilities.