Compliance-The Core Compliance, Associate, Dallas

Location: Dallas, TX, United States; office-based role

Company

hirify.global is a global investment banking, securities, and investment management firm with offices around the world.

What you will do

• Provide compliance coverage for Controllers, Tax, and Operations groups in Dallas.
• Advise and challenge business divisions on regulations, policies, and reputational risk.
• Analyze regulatory changes, enforcement actions, and compliance issues.
• Use data analytics tools and compliance technology platforms to identify patterns and generate insights.
• Conduct surveillance, investigations, forensic reviews, risk assessments, and control testing.
• Draft policies and procedures, support regulatory interactions, and present findings to senior leaders.

Requirements

• 3+ years of relevant experience in compliance, risk management, legal, regulatory affairs, or a related control function within a US broker-dealer or financial institution.
• Knowledge of operational practices in securities and derivatives markets.
• Knowledge of regulations, practices, and market infrastructure in the Americas.
• Knowledge of non-financial regulatory reporting, including Blue Sheets, Consolidated Audit Trail, Large Option Position Reporting, Short Interest Reporting, and Swap Dealer Reporting.
• Familiarity with SEC, FINRA, CFTC, and NFA regulations.
• Experience working as a regulator, interacting with regulators, or supporting regulatory audits and inquiries.

Nice to have

• Familiarity with data tools such as SQL, Tableau, or Alteryx.

Culture & Benefits

• Independent control function within the firm’s second line of defense.
• Opportunities to participate in regional and global compliance initiatives.
• Training and development opportunities and firmwide professional networks.
• Benefits, wellness, personal finance offerings, and mindfulness programs.
• Commitment to diversity, inclusion, and reasonable accommodations during recruitment.