Senior Advisor, Compliance PCG Branch Exams (Remote Nationwide)

Location: Remote within the United States; travel to retail brokerage branches throughout the U.S. may be required, up to 50%.

Salary: $75,000–$95,000 per year.

Company

hirify.global is a financial services firm providing retail brokerage and Private Client Group services.

What you will do

• Execute the risk-based branch examination program across FINRA-registered and non-registered Private Client Group branches.
• Review supervisory systems, branch files, documentation, physical settings, and employee practices for compliance with firm policies and regulatory requirements.
• Document testing activities, apply sample methodologies and risk weights, and communicate findings to branch management and compliance leadership.
• Identify and escalate emerging risks and adverse trends, provide follow-up reporting, and support mitigation efforts.
• Complete special reviews and ad hoc compliance projects while maintaining collaboration with Compliance and Supervision partners.
• Provide guidance and mentoring to less-experienced peers.

Requirements

• Bachelor’s degree and at least three years of licensed examination experience, or an equivalent combination of experience, education, and training.
• Advanced knowledge of securities industry practices, broker/dealer compliance, branch examinations, financial markets, and investment products.
• Knowledge of SEC, FINRA, and state securities regulatory rules and regulations.
• Series 7 and Series 24 licenses, or willingness to obtain the required license within 120 days of employment; Series 9 and 10 may substitute for Series 24.
• Strong documentation, communication, problem-solving, organization, and risk-identification skills.
• Proficiency in Microsoft Word and Excel and the ability to work independently and collaboratively under pressure.

Nice to have

• Additional licenses or certifications demonstrating expertise in industry regulation and concepts.

Culture & Benefits

• Remote work arrangement with travel of up to 50% for onsite branch examinations.
• Medical, dental, vision, life, critical illness, accident, and disability insurance may be available.
• Retirement savings, paid vacation, holidays, sick leave, and parental leave may be included.
• People-first culture focused on client-first service, integrity, independence, collaboration, accountability, and continuous improvement.