Suitability Principal (Transfer of Assets)

TL;DR

Suitability Principal (Finance): Managing firm acceptance and suitability for brokerage and advisory business with an accent on compliance, risk mitigation, and regulatory standards. Focus on reviewing complex transfer of assets (TOA) transactions, providing expert guidance to stakeholders, and ensuring adherence to best interest standards.

Location: Remote (US). Candidates residing within 50 miles of the Springfield office are expected to work a Hybrid schedule (3 days a week).

Salary: $84,100–$110,300

Company

hirify.global is a leading financial services and insurance corporation providing comprehensive operational and regulatory support.

What you will do

• Act as a key decision-maker for firm acceptance and suitability across brokerage and advisory business.
• Review and approve complex in-force transactions with a focus on compliance, accuracy, and risk mitigation.
• Serve as a trusted advisor and escalation point for high-risk transactions and suitability decisions.
• Partner with Compliance, Field Leadership, Advisory, and National Financial Services (NFS) to resolve issues.
• Identify trends in transactions and recommend solutions to enhance processes and reduce firm risk.

Requirements

• FINRA Series 7 & 24 licenses required at time of application.
• Must be based in the United States.
• 3+ years of MMLIS experience or 5+ years in Brokerage/Advisory Transfer of Assets or Money Movement transactions.
• Ability to work business hours (9:00 AM – 6:00 PM).
• High School Diploma, GED, or HiSET.

Nice to have

• Bachelor’s degree.
• Experience with NFS Account Opening, Envestnet (ENV2), A360, Case Manager, or Streetscape.
• Deep expertise in managed accounts, options, and regulatory risk frameworks.
• Proven ability to influence senior field and compliance partners.

Culture & Benefits

• Collaborative, high-performing team environment emphasizing continuous development.
• Opportunities for cross-training and professional growth within financial operations.
• Remote work flexibility, though subject to occasional on-site regulatory inspections.
• Commitment to delivering best-in-class operational and regulatory support.