Chief Compliance Officer (CCO) (Fintech)

Location: New York, NY; work mode: Onsite / Hybrid

Base salary: $260K–$290K per year, plus equity and annual performance-based bonuses.

Company

hirify.global is an AI operating system for investment management used by wealth firms and fintechs managing more than $10 trillion in client assets, backed by Index, a16z, and Lightspeed.

What you will do

• Own RIA and Broker-Dealer compliance programs, including policies, supervisory procedures, Code of Ethics, registrations, licensing, filings, advertising review, best execution, net capital, books and records, and annual compliance reviews.
• Assess regulatory risks across business units and design mitigating controls.
• Lead surveillance, testing, employee oversight, pre-clearance, personal trading reviews, gifts and entertainment monitoring, and political contribution reviews.
• Review new products, features, account types, and business lines, including related license applications.
• Manage SEC and FINRA examinations, regulatory inquiries, and relationships with regulators.
• Build compliance training and work with engineers to embed regulatory controls into the product.

Requirements

• Experience as CCO or Deputy CCO of an SEC-registered investment adviser and/or Broker-Dealer.
• Direct experience managing SEC and/or FINRA examinations from document requests through resolution.
• Series 7, 24, 63, or 66 license.
• Hands-on startup experience writing and implementing compliance policies.
• Strong judgment under ambiguity and a bias toward enabling the business safely.

Nice to have

• Fixed-income or wealth-tech background.
• Experience scaling an RIA and/or Broker-Dealer compliance program.
• Experience building AI agents to scale compliance policies and procedures.

Culture & Benefits

• High-autonomy environment with intense pace, high standards, and ownership of outcomes.
• West Village office with a terrace.
• Free lunch and dinner when working in the office.
• $150 monthly gym and wellness stipend.
• Health, dental, and vision coverage with 100% company reimbursement.
• Aggressive initial equity grant and annual performance-based bonuses.