Compliance Manager (Fintech)

TL;DR

Compliance Manager (Fintech): Delivering comprehensive compliance services to investment advisers and broker-dealers with an accent on regulatory filings, surveillance, and program administration. Focus on managing complex client engagements, ensuring adherence to industry standards, and utilizing compliance technology to support monitoring activities.

Location: Must be based in the United States (Central or Eastern time zones preferred).

Company

hirify.global is a leading global technology solutions provider for the investment management industry, supporting clients across the front, middle, and back office.

What you will do

• Prepare and support regulatory filings including Form ADV, 13F, U4, and U5.
• Conduct electronic communications reviews and surveillance activities.
• Administer and test Code of Ethics programs and compliance monitoring.
• Manage recurring regulatory deadlines and client deliverables.
• Utilize compliance technology solutions to support program administration.
• Work directly with clients to provide high-quality compliance guidance.

Requirements

• 3+ years of compliance experience within the investment management industry.
• Hands-on experience with IARD, EDGAR, FINRA Gateway, and CRD.
• Proven expertise with Form ADV, 13F, U4, and U5 filings.
• Must be based in the United States.
• Strong analytical skills and proficiency in Excel.
• Excellent written and verbal communication skills.

Nice to have

• Broker-dealer or private fund compliance experience.
• Familiarity with compliance systems like ACM, Hadrius, or Greenboard.
• Industry certifications such as IACCP, CRCP, ACAMS, or Series 7/24/65.
• Experience in compliance consulting.

Culture & Benefits

• Fully remote working environment.
• Generous time-off packages including additional half-days for public holidays.
• Global career development opportunities.
• Referral bonus scheme up to $3,000.
• Collaborative team culture supported by a large global organization.

Hiring process

• Screening call with Talent Acquisition.
• AI interview scheduler and additional screening calls.
• Hiring manager interview followed by a final interview stage.