Compliance Associate/Consultant (Regulatory Compliance)

Location: Hybrid role based in New York, Los Angeles, Charlotte, or Chicago, USA.

Salary: US$90,000–120,000 per year

Company

hirify.global provides fund services, corporate, capital markets, private client, regulatory, and compliance solutions to asset managers, financial institutions, corporations, high-net-worth individuals, and family offices.

What you will do

• Advise investment management clients on personal trading, email reviews, firm trading activity monitoring, and restricted lists.
• Prepare and submit regulatory filings, including Form ADV and Form 13 filings, and manage SEC and CFTC registrations.
• Support regulatory examinations conducted by the SEC, NFA, and state regulators.
• Investigate and document compliance issues, monitor regulatory developments, and assess their impact on clients.
• Review marketing and advertising materials for compliance with the Advisers Act and other applicable requirements.
• Deliver annual compliance training and communicate with clients, regulators, industry contacts, and internal teams.

Requirements

• Bachelor's degree or equivalent qualification.
• 1–3 years of relevant compliance experience, ideally in a registered investment adviser, law firm, bank, alternative investment firm, or similar environment.
• Knowledge of CFTC, NFA, client requirements, and SEC examination practices is highly regarded.
• Strong Microsoft Office skills, including Teams, Excel, Word, Outlook, and PowerPoint.
• Ability to manage multiple workloads independently, maintain accuracy, and complete tasks within agreed timelines.
• Strong communication, relationship-building, discretion, integrity, and problem-solving skills.

Nice to have

• Experience using MyComplianceOffice and Global Relay.

Culture & Benefits

• Collaborative, dynamic, and entrepreneurial working environment.
• Client-centric culture focused on specialist expertise and practical solutions.
• Values include ambition, agility, collaboration, ethics, and integrity.
• Supportive environment with opportunities for professional growth and recognition.