Compliance Officer, Compliance – Distribution

Location: Newport Beach, California, USA

Salary: $108,000–$135,000 per year, plus a discretionary bonus.

Company

hirify.global is an active fixed-income investment manager serving institutions, financial advisors, and individual investors across public and private markets.

What you will do

• Own the Licensing & Registration function, including Form U4 and U5 filings, registration maintenance, and regulatory requirements.
• Manage onboarding, transfers, and offboarding for registered representatives in partnership with HR and business stakeholders.
• Administer Outside Business Activity disclosures and oversee the firm's NFA registration program.
• Support broker-dealer compliance, conflicts-of-interest controls, Gifts & Entertainment monitoring, and electronic surveillance.
• Assist with regulatory examinations, audits, annual reviews, and regulatory inquiries.
• Lead or support compliance initiatives using workflow automation, data analytics, and AI-enabled tools.

Requirements

• Bachelor's degree required; J.D. preferred.
• At least five years of compliance experience in a FINRA-registered broker-dealer, investment management firm, or similar regulated financial services environment.
• Direct experience supporting licensing and registration functions, with strong knowledge of FINRA rules covering registration, supervision, outside business activities, and conflicts of interest.
• Experience with FINRA Gateway and related registration systems; knowledge of NFA registration requirements is beneficial.
• Strong analytical, organizational, problem-solving, written, and verbal communication skills.
• Candidates must hold or obtain within a reasonable period after hire the FINRA Series 7 and Series 24 registrations.

Nice to have

• Asset management experience supporting institutional and intermediary distribution businesses.
• Experience with registered funds, ETFs, separate accounts, and private fund products.
• Experience with surveillance platforms, compliance technology, workflow automation, regulatory examinations, audits, and compliance reviews.

Culture & Benefits

• Inclusive, high-performance culture built around collaboration, openness, responsibility, and excellence.
• Total compensation includes base salary and a discretionary performance-based bonus.
• Work with global Compliance, Legal, HR, Marketing, and business stakeholders.