Compliance Analyst, Supervision (Insurtech)

Location: Des Moines, Iowa; role based in Urbandale, Iowa

Company

hirify.global is an independent distributor of life, health, and wealth insurance products with a strong insurtech focus, serving independent agents and clients nationwide.

What you will do

• Supervise the activities of registered representatives and investment adviser representatives as a home office point of contact.
• Identify, monitor, and escalate sales practice concerns, conflicts of interest, and other high-risk activities.
• Review correspondence, blotters, outside business activities, private securities transactions, political contributions, personal securities accounts, and trading activity.
• Prepare supervision reports and updates for the Chief Compliance Officer.
• Develop and maintain written supervisory procedures, desktop procedures, quick reference guides, compliance manuals, and policies.
• Support compliance testing, training development, completion tracking, and regulatory change management.

Requirements

• Bachelor’s degree or an equivalent combination of education and relevant experience.
• At least 5 years of broker-dealer and investment adviser brokerage operations, supervision, or compliance experience.
• Active FINRA SIE, Series 7, and Series 24 licenses required; Series 4 and Series 53 required within 12 months.
• Strong written and verbal interpersonal communication skills, accountability, initiative, and ability to manage multiple tasks.
• Strong technical skills in Microsoft Word, Excel, PowerPoint, Outlook, and other MS Office applications.
• Ability to work independently while contributing effectively as part of a team.

Nice to have

• Experience with Pershing, Schwab, and Fidelity platforms.
• Familiarity with variable annuity and variable life products.

Culture & Benefits

• Full-time employment in a professional, team-oriented environment.
• Opportunity to contribute to a growing financial services and insurtech organization.
• Competitive compensation package with benefits for employees and families.
• Career development opportunities within a hyper-growth company.