AVP Investment Compliance Officer

TL;DR

AVP Investment Compliance Officer (Investment Management): Monitoring and strengthening portfolio compliance across pre-trade and post-trade activities, with an accent on regulatory requirements, client investment guidelines, and automated surveillance. Focus on designing rule-coded monitoring controls, resolving complex compliance exceptions, and advising investment professionals across products, strategies, and asset classes.

Location: San Diego, California, United States

Salary: $104,000–$130,000 USD annual base salary, plus potential incentive compensation.

Company

hirify.global provides financial products and services designed to support individuals, institutions, and communities in achieving better financial outcomes.

What you will do

• Lead pre-trade and post-trade portfolio compliance surveillance against securities regulations and client-specific investment guidelines.
• Design, implement, test, and enhance automated compliance monitoring tools, rule coding, reporting, and control processes.
• Investigate and resolve compliance exceptions, trading errors, and guideline breaches, escalating issues and recommending corrective actions.
• Advise investment professionals, traders, legal, operations, technology teams, and other stakeholders on regulatory and contractual requirements.
• Review investment management agreements, prospectuses, offering documents, and client guidelines to establish monitoring methodologies.
• Lead regulatory change initiatives, audits, examinations, strategic projects, client reporting, and mentorship of junior compliance professionals.

Requirements

• Bachelor’s degree or equivalent.
• At least seven years of investment management compliance experience.
• Proficiency with automated compliance monitoring systems and rule coding, such as BlackRock Aladdin or Bloomberg AIM.
• Working knowledge of the Investment Advisers Act of 1940, Investment Company Act of 1940, SEC rules, securities laws, and industry practices.
• Experience with diverse investment products, strategies, and asset classes, including global products and non-U.S. regulatory frameworks such as Luxembourg, Taiwan, the EU, the UK, and Hong Kong.
• Strong communication, analytical, technology, prioritization, accuracy, mentoring, and cross-functional leadership skills; proficiency with Excel required.

Culture & Benefits

• Purpose-driven environment focused on expanding access to financial opportunities.
• Inclusive workplace that values diverse perspectives and encourages employees to bring their whole selves to work.
• Health, dental, vision, and life insurance plans.
• 401(k) plan with company matching contributions of up to 6% and an employer-paid cash balance retirement plan.
• Tuition reimbursement of up to $5,250 per year.
• Paid time off, company holidays, a diversity celebration day, and 40 hours of paid volunteer time annually.