Senior Director Personal Trading & Compliance (Fintech)

TL;DR

Senior Director Personal Trading & Compliance (Fintech): Leading the Personal Trading and Code of Ethics program across various financial entities with an accent on scalable, risk-based compliance frameworks. Focus on designing risk assessment frameworks, managing regulatory examinations, and sponsoring AI-enabled compliance capabilities.

Location: Remote (USA). Applicants must be authorized to work for any employer in the U.S.

Salary: $151,800 - $220,050

Company

hirify.global is a financial services corporation dedicated to transforming financial lives through retirement and investment solutions.

What you will do

• Lead the firm's Personal Trading and Code of Ethics program, including pre-clearance, restricted list oversight, and disclosures.
• Serve as deputy to the VP, Compliance and Chief Compliance Officer for governance and regulatory initiatives.
• Direct enterprise compliance risk assessments, annual reviews, monitoring, testing, and issue management.
• Manage and coach a team of compliance professionals, fostering a culture of accountability and collaboration.
• Partner with business leaders and control functions to provide guidance on fiduciary obligations and regulatory requirements.
• Sponsor the implementation of technology, automation, and AI-enabled compliance capabilities.

Requirements

• Bachelor's degree required; Juris Doctor preferred.
• 10+ years of progressive compliance experience in investment advisers, registered funds, or broker-dealer businesses.
• 5+ years of people leadership experience.
• Deep knowledge of Investment Advisers Act of 1940, Investment Company Act of 1940, and FINRA rules.
• FINRA Series 65 or 66 and FINRA fingerprinting required.
• Must be authorized to work for any employer in the U.S. (no sponsorship provided).

Nice to have

• Juris Doctor or other advanced degree.
• Experience modernizing compliance programs via technology, analytics, or AI-enabled monitoring.
• Track record of developing compliance metrics and key risk indicators for executive reporting.

Culture & Benefits

• Comprehensive medical, dental, vision, and life insurance.
• 401(k) plan with generous company matching contributions up to 6%.
• Tuition reimbursement up to $5,250 per year.
• Generous paid time off, including company holidays and floating holidays.
• Paid parental leave, short-term, and long-term disability.
• 16 hours of paid volunteer time per calendar year.