Compliance Manager - Surveillance

Job description

Location: Hybrid office environment on Tuesday, Wednesday, and Thursday; available in Denver, Cedar Rapids, Baltimore, or Philadelphia. Applicants must be authorized to work in the U.S. without immigration sponsorship.

Salary: $100,000–$115,000 annually.

Company

hirify.global is an international financial services company providing insurance, retirement, investment, and employee benefit solutions.

What you will do

• Manage compliance surveillance programs, including policies, methodologies, monitoring controls, risk indicators, reporting, and escalation processes.
• Interpret FINRA, SEC, state insurance, and other regulatory requirements to enhance surveillance scenarios, analytics, procedures, and controls.
• Oversee risk-based monitoring, identify conduct and sales practice concerns, and ensure reviews are timely, thorough, and well documented.
• Prepare management reporting covering surveillance trends, findings, root causes, emerging risks, remediation, and recommendations.
• Support regulatory examinations, audits, inquiries, internal reviews, and information requests, including remediation tracking.
• Lead, coach, and develop team members while collaborating with Supervision, business partners, vendors, and regulators.

Requirements

• Bachelor’s degree in business, communications, finance, or a related field, or equivalent experience.
• At least 5 years of experience in securities or insurance compliance, suitability review, sales supervision, market conduct, investigations, risk management, financial services, banking, or a related field.
• Experience leading projects, programs, or teams.
• Strong leadership, judgment, critical thinking, analytical, investigative, decision-making, communication, and collaboration skills.
• Ability to interpret regulations and company policies and translate them into practical program expectations.
• Advanced ability to use compliance, workflow, surveillance, case management, reporting, or document management systems.

Nice to have

• 10 years of relevant experience.
• FINRA Series 7 and 24 or other registrations required for assigned responsibilities.
• Experience with FIS Global surveillance software.
• Advanced Microsoft Excel skills, including pivot tables.
• Experience using AI for data analytics or surveillance reviews.

Culture & Benefits

• Hybrid office environment with a collaborative, diverse, and accountable workplace.
• Competitive pay and bonus eligibility.
• Pension plan, 401(k) match, employee stock purchase plan, and tuition reimbursement.
• Medical, dental, vision, disability, and employee assistance benefits.
• Paid time off starting at 160 hours annually, ten paid holidays, and paid parental leave.
• Career training, development opportunities, wellness programs, employee resource groups, and inclusion programs.

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