Director, PCG Compliance Testing

Location: Saint Petersburg, Florida, United States; hybrid workstyle.

Company

hirify.global is a financial services firm focused on securities, banking, financial markets, and investment services.

What you will do

• Lead and supervise compliance testing engagements for Private Client Group areas, from planning and regulatory review through execution, issue identification, and final reporting.
• Oversee multiple testing projects, ensuring quality deliverables and risk-based alignment with the Compliance Testing Program Manual.
• Manage enhancements and updates to the Compliance Testing Framework and annual and quarterly testing plans.
• Review compliance controls, test findings, action plans, policies, and procedures, and communicate recommendations to management.
• Lead reporting for compliance assurance activities and serve as a point of contact for regulatory examinations and internal audits.
• Coach, train, mentor, and direct Compliance Testing associates, including supporting talent selection.

Requirements

• Bachelor’s degree in a related discipline required; a master’s degree is preferred.
• At least 10 years of compliance, legal, banking, and/or regulatory experience in the financial services industry.
• At least 5 years of management experience within the financial services industry.
• Advanced knowledge of securities compliance, SEC, FINRA, state securities regulations, Sarbanes-Oxley Section 404, financial markets, and investment products.
• Strong project management, analytical, investigative, communication, decision-making, and reporting skills.
• Ability to manage multiple priorities, lead and evaluate associates, and work independently and collaboratively.

Nice to have

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

Culture & Benefits

• Hybrid workstyle with less than 25% travel.
• Medical, dental, vision, life, critical illness, accident, disability, retirement savings, paid time off, and parental leave benefits may be available.
• Culture centered on client-first service, integrity, independence, collaboration, accountability, and continuous improvement.
• Inclusive workplace that values diverse experiences and backgrounds.