Compliance Officer (Transfer Agent/Registration)

Location: Baltimore, Maryland, United States; hybrid

Salary: $125,000–$145,000 annually, plus a discretionary bonus; compensation depends on location and relevant experience.

Company

hirify.global is a global asset manager providing investment management services and supporting clients’ long-term wealth creation.

What you will do

• Provide compliance oversight and guidance to multiple transfer agents and US distribution businesses.
• Develop, review, and update transfer agent and compliance policies, procedures, and controls.
• Compile and submit routine SEC, FINRA, MSRB, and NFA regulatory filings.
• Prepare responses to regulatory information requests, inquiries, and examinations.
• Research rules and regulations and provide practical guidance to internal business partners.
• Evaluate compliance risks and advise on projects and business initiatives.

Requirements

• 7+ years of compliance, regulatory, transfer agency, broker-dealer, or related financial services experience.
• Bachelor’s degree or equivalent experience.
• Working knowledge of SEC, FINRA, NFA, and MSRB rules, regulations, and reporting requirements.
• Experience maintaining compliance policies, procedures, and controls, with the ability to interpret regulatory requirements.
• Ability to identify, assess, and mitigate compliance risks while managing multiple priorities and deadlines.
• Strong written and verbal communication, attention to detail, professional judgment, and proficiency with Microsoft Office Suite.

Nice to have

• Comfort leveraging emerging technologies, including AI-enabled tools, to improve productivity and efficiency.

Culture & Benefits

• Three weeks of paid time off during the first year, plus vacation, holiday, sick, parental, caregiving, bereavement, volunteering, and floating holidays.
• Medical, dental, vision, insurance, and disability coverage.
• 401(k) plan with an 85% company match on eligible pre-tax and Roth contributions, up to IRS limits.
• Employee Stock Investment Plan with discounted share purchase opportunities.
• Learning assistance, education reimbursement, career development programs, and access to company funds without sales charges.