Compliance, GBM Public Compliance -Equities, Custody Solutions, Associate

Location: New York, NY, United States

Salary: USD 85,000–140,000 annually

Company

hirify.global is a global investment banking, securities, and investment management firm headquartered in New York with offices worldwide.

What you will do

• Provide day-to-day Compliance coverage for Equities Custody Solutions, including Sales, Client Services, Trading Services, Product Development, and Operations.
• Advise business teams on compliant client activity and applicable regulatory expectations.
• Assess new business initiatives and coordinate stakeholders within the firm’s governance framework.
• Develop and maintain Compliance policies, procedures, and training programs.
• Support regulatory examinations, audits, inquiries, surveillance oversight, and programmatic reviews.
• Analyze regulatory changes, evaluate compliance risks, and help develop compliance action plans.

Requirements

• Bachelor’s degree.
• 3+ years of experience in Compliance, Legal, Regulatory, or Financial Services.
• Knowledge of regulations governing broker-dealers, swap dealers, and other regulated financial services entities, including SEC, CFTC, FINRA, NFA, NYSE, Nasdaq, CBOE, and ISE requirements.
• Strong written and verbal communication skills, with the ability to provide effective control-side guidance.
• Experience leading, managing, or participating in regulatory projects and business initiatives requiring Compliance input.
• Ability to prioritize multiple tasks and perform effectively under pressure.

Nice to have

• Regulatory experience in Equities or Custody Solutions.
• Understanding of equities and fixed-income market conventions.

Culture & Benefits

• Training and professional development opportunities.
• Firmwide employee networks and diversity and inclusion initiatives.
• Benefits, wellness, personal finance offerings, and mindfulness programs.
• Reasonable accommodations are available during the recruiting process for candidates with disabilities or special needs.