HI
compliance manager financial services
- Salary
- $79K–$138KUSD per year
- Hiring from
- United States
- Work type
- Hybrid
- Posted
- Sep 27, 2026
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26 days ago
Compliance Manager (Financial Services)
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78 700 - 138 200$
Work format
hybrid
Work type
fulltime
Grade
senior
b2
Country
US
microsoft excelregulatory compliancefinancial servicescftcseccompliance monitoringbroker dealersinvestment advisers
Vacancy from Hirify Global, list of international tech companies
Plus is required to make matches and apply
Plus is required to make matches and apply
$79k-138k/yr
$110k$140kmedian$170k
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Hirify AI/Original
TL;DR
Compliance Manager (Financial Services): Supporting the Global Asset Management Compliance program through compliance monitoring, testing, oversight, and regulatory advisory activities with an accent on investment adviser, investment company, transfer agent, and broker-dealer requirements. Focus on researching regulations, analyzing business practices, identifying compliance gaps, and coordinating corrective actions with legal and business partners.
Location: Boston, Massachusetts, United States; in-office collaboration at least four days per week, with flexibility to work from home one day per week.
Base salary: $78,700–$138,200 per year, plus potential variable compensation and benefits.
Company
hirify.global is a diversified financial services organization providing financial planning, asset management, insurance, and annuity services through businesses including Columbia Threadneedle Investments and RiverSource.
What you will do
- Conduct compliance testing of Columbia Threadneedle business functions and participate in global reviews with non-US colleagues.
- Coordinate with business partners to develop and implement effective compliance policies and procedures.
- Research laws and regulations, assess their impact on business practices, and collaborate with Legal partners to resolve compliance issues.
- Monitor industry developments, raise issues, maintain records, and support day-to-day compliance oversight.
- Serve as a compliance subject-matter resource for multiple lines of business and senior stakeholders.
- Analyze business practices and data to identify problems, close recognized gaps, and improve compliance controls.
Requirements
- Bachelor's degree or equivalent four-year education.
- 5–7 years of relevant experience.
- Strong knowledge of the financial services industry.
- Knowledge of SEC, CFTC, state, and other regulatory requirements applicable to investment advisers, registered investment companies, transfer agents, and broker-dealers.
- Strong written and verbal communication, facilitation, and presentation skills.
- Intermediate proficiency in Microsoft Word, Excel, and PowerPoint.
- Valid US work authorization without current or future visa sponsorship requirements is mandatory.
Nice to have
- Experience with middle- or back-office operations for investment companies and investment advisers.
- Experience with non-US investment products such as OEICs and SICAVs.
- Experience developing process flows or diagrams and working knowledge of Microsoft Visio.
- Microsoft Access skills.
Culture & Benefits
- Face-to-face collaboration and relationship-based client service.
- Work-life balance, structured mentoring, career progression, and an inclusive workplace.
- Vacation and sick time.
- 401(k), health, dental, and life insurance benefits.
- Potential bonus, commission, or long-term incentive compensation depending on the role.
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