Director of Compliance (Fintech)

TL;DR

Director of Compliance (Fintech): Leading the compliance risk management and GRC programs for a digital financial services platform with an accent on regulatory risk, AI governance, and securities law. Focus on designing enterprise-wide ethics programs, ensuring SEC/FINRA compliance, and coordinating complex regulatory filings.

Location: Must be based in the United States (Open to US-based Remote)

Salary: $215,000 - $246,875

Company

hirify.global is a leading automated investment service providing robo-advising and financial planning.

What you will do

• Lead the compliance risk management team and the Governance, Risk, and Compliance (GRC) program.
• Design and manage the enterprise-wide compliance and ethics program, including staff supervision and training.
• Develop and implement a comprehensive AI governance framework for ethical and legal AI deployment.
• Execute monitoring, testing, and periodic risk assessments for broker-dealer supervisory policies.
• Coordinate the filing of regulatory documents (ADV Part 1, 2A, 2B, Form BD, 17H, 13F) and respond to regulatory inquiries.
• Collaborate with the General Counsel to implement a regulatory change management program.

Requirements

• 10+ years of professional experience in compliance at a broker-dealer or investment advisory firm.
• FINRA Series 7 and 24 or Series 14 licenses.
• Strong working knowledge of FINRA, MSRB, and SEC rules.
• Must be based in the United States.

Nice to have

• Product experience with mutual funds, money market funds, ETFs, margin products, and 529 plans.
• General understanding of investment advisory, banking, and insurance.
• Intellectual curiosity regarding the application of technology to enhance business processes.

Culture & Benefits

• Comprehensive medical, vision, and dental insurance.
• 401K plan and employee investing discounts.
• Generous time off and parental leave.
• Wellness reimbursements and professional development opportunities.