Senior Advisor, Compliance PCG Branch Exams (Remote Nationwide)

Location: Remote nationwide within the United States; listed location is New York, United States. Travel up to 50%.

Salary: $75,000–$95,000 per year

Company

hirify.global is a financial services firm providing securities, investment, and private client services.

What you will do

• Execute risk-based branch examinations across FINRA-registered and non-registered Private Client Group branches.
• Document testing activities, work papers, sample methodologies, findings, and risk weights in the branch exam system.
• Identify emerging risks and adverse trends, escalate issues, and support mitigation discussions.
• Communicate examination findings to branch management, exam managers, compliance leadership, and business partners.
• Complete follow-up activities, special reviews, and ad hoc compliance projects.
• Provide guidance and mentoring to less-experienced colleagues.

Requirements

• Bachelor’s degree and at least three years of licensed examination experience, or an equivalent combination of experience, education, and training approved by Human Resources.
• 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.
• Series 7 and 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-assessment skills.
• Proficiency in Microsoft Word and Excel, with 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 workstyle with travel of up to 50%.
• Benefits may include medical, dental, and vision coverage; life, disability, critical illness, and accident insurance.
• Retirement savings, paid vacation, holidays, sick leave, and parental leave may be available.
• Guiding behaviors include developing, collaborating, deciding, delivering, and improving.
• People-first culture emphasizing integrity, independence, client focus, inclusion, and professional growth.