Senior Compliance Officer - Equities

Location: Onsite in Bala Cynwyd, Philadelphia Area, Pennsylvania, United States

Company

hirify.global is a financial services firm with equities trading and sales operations in the US and globally.

What you will do

• Provide real-time regulatory guidance and oversight to equities trading and sales teams.
• Advise on new business initiatives, algorithmic trading, complex transactions, and desk-level enhancements.
• Support system and platform implementations, regulatory change initiatives, surveillance, and control enhancements.
• Prepare documentation and coordinate responses to regulatory inquiries and information requests.
• Provide day-to-day guidance on trading rules, market conduct, and policy interpretation.
• Identify emerging risks and collaborate with trading compliance colleagues in the US and globally.

Requirements

• 5–10+ years of compliance experience within equities markets.
• Strong understanding of equities products and market structure, including cash equities, ETFs, options exposure, and electronic or algorithmic trading.
• Working knowledge of Exchange Act rules, SEC and FINRA regulations, Regulation NMS, Regulation SHO, Rule 10b-5, market abuse frameworks, and equity trading and reporting requirements.
• Excellent judgment and communication skills, with the ability to provide concise, practical advice.
• Experience interacting with traders and senior business stakeholders.
• Relevant licenses such as Series 7 and 24, or willingness to obtain them.

Culture & Benefits

• Immediate start opportunity.
• Collaboration with front-office stakeholders and global trading compliance colleagues.
• Opportunity to contribute to strategic growth, process improvements, and a strong culture of compliance.