Compliance Associate (Fintech)

TL;DR

Compliance Associate (Fintech): Providing compliance coverage for Controllers, Tax, and Operations divisions with an accent on regulatory risk assessment, surveillance, and policy implementation. Focus on analyzing complex regulatory changes, conducting forensic reviews, and influencing senior leadership to ensure adherence to SEC, FINRA, and CFTC requirements.

Location: Must be based in Dallas, TX, United States

Company

hirify.global is a leading global investment banking, securities, and investment management firm founded in 1869.

What you will do

• Advise and influence business divisions regarding regulations, policies, and reputational risk.
• Leverage data analytics tools to identify patterns and generate actionable compliance insights.
• Analyze regulatory changes and enforcement actions to assess impact on core business functions.
• Conduct forensic reviews to monitor compliance with firm policies and external regulations.
• Investigate and manage conduct-related issues while liaising with internal stakeholders.
• Support firm responses to regulatory examinations, audits, and inquiries.

Requirements

• 3+ years of relevant experience in compliance, risk management, or legal within a US financial institution.
• Knowledge of US regulatory frameworks including SEC, FINRA, CFTC, and NFA.
• Experience with non-financial regulatory reporting such as Blue Sheets, CAT, and Short Interest Reporting.
• Strong written and verbal communication skills with the ability to influence senior leadership.
• Ability to manage long-term projects alongside time-sensitive daily escalations.

Nice to have

• Proficiency in data tools such as SQL, Tableau, or Alteryx.
• Experience working as a regulator or supporting regulatory audits.

Culture & Benefits

• Commitment to diversity and inclusion through firmwide networks and development programs.
• Access to comprehensive wellness, personal finance, and mindfulness offerings.
• Professional growth opportunities through structured training and development.
• Collaborative environment with team members from diverse academic and professional backgrounds.