Senior Regional Compliance Associate (Fintech)

Location: Hybrid in Irving, Texas, United States; approximately 30% regional travel required, with working hours varying by supported region.

Company

hirify.global is a rapidly growing registered investment adviser combining expert advisors with fintech and wealth management technology.

What you will do

• Serve as the primary compliance resource for an assigned region and advise registered personnel on supervisory matters.
• Review trade blotters, correspondence, marketing materials, attestations, outside business activities, brokerage accounts, gifts, and entertainment.
• Provide compliance guidance, training, and direction to advisors and partner with regional managing directors on coaching opportunities.
• Investigate and document client complaints and coordinate resolution with the broader Compliance function.
• Support regulatory examinations, internal audits, and ongoing compliance initiatives.
• Produce supervisory reports and follow up with advisors on activity, productivity, and logging.

Requirements

• 5+ years of financial services experience in a compliance or supervisory role.
• Experience conducting principal-level or OSJ supervisory reviews.
• Active Series 66 and Series 24 licenses in good standing.
• Comprehensive knowledge of FINRA and SEC rules and regulations.
• High attention to detail, sound judgment, and integrity when handling sensitive or escalated matters.
• Bachelor's degree or higher.

Nice to have

• Previously held or currently active Series 7 and Series 9/10 licenses.
• Experience supporting regulatory examinations or internal audits at an RIA or broker-dealer.
• Familiarity with compliance technology platforms and surveillance tools.
• OSJ or branch examination experience.
• Experience working with distributed or remote advisor teams.

Culture & Benefits

• Competitive compensation package tied to impact.
• Opportunity to work in a fast-scaling fintech startup.
• Full health benefits, 401(k) matching, and Roth IRA options.
• Unlimited paid time off.
• Growth opportunities as the company expands.