Mgr, Compliance - LIC

Location: Remote; compensation factors in various geographic regions within the United States.

Salary: $114,731–$155,224 per year.

Company

hirify.global provides financial services focused on helping people manage money and live balanced and generous lives.

What you will do

• Conduct ongoing testing and reviews of registered investment adviser policies, procedures, products, and operations under SEC Rule 206(4)-7.
• Analyze complex compliance risks and implement risk assessment, monitoring, measurement, and mitigation strategies.
• Lead annual compliance reviews, incident management, and regulatory and supervision initiatives.
• Consult with business units, financial advisory practices, and enterprise compliance teams on regulatory requirements and risk management.
• Build, coach, and lead a high-performing compliance team.
• Complete strategic projects assigned by the Chief Compliance Officer.

Requirements

• Series 65 or Series 66 license, relevant professional designation, or ability to obtain the required license within 90 days.
• Bachelor’s degree in business or a related field.
• 5+ years of relevant experience in financial services, insurance, securities, or investment management.
• Extensive knowledge of registered investment adviser operations and securities regulatory requirements in the independent advisor space.
• Previous regulatory or compliance experience and experience consulting with financial advisory practices.
• Strong communication, negotiation, judgment, leadership, project management, and influencing skills.

Culture & Benefits

• Remote work arrangement.
• Medical, dental, and vision insurance may be offered.
• 401(k), pension, health savings account, flexible spending account, life, disability, and supplemental insurance may be available.
• 20 days of paid time off, sick and safe time, paid company holidays, volunteer time off, and paid parental leave.
• Bonuses, well-being benefits, and employee assistance programs may be offered.