Vice President Compliance Testing (Fintech)

TL;DR

Vice President Compliance Testing (Fintech): Conducting investigative work and executing detailed testing to assess compliance with regulations and firm policies with an accent on identifying conduct and reputational risks. Focus on designing control frameworks, performing data analysis, and collaborating with senior management to refine firm-wide compliance strategies.

Location: Must be based in Dallas, TX, United States

Company

hirify.global is a leading global investment banking, securities, and investment management firm providing financial services to a diversified client base.

What you will do

• Propose and execute detailed compliance testing plans in alignment with team objectives.
• Gather and analyze data to document findings and identify potential regulatory or conduct risks.
• Escalate identified risks effectively to appropriate stakeholders and business management.
• Manage multiple concurrent reviews while maintaining high standards of accuracy.
• Collaborate with global teams to share findings and refine internal control processes.
• Interact with senior management to communicate complex compliance issues clearly.

Requirements

• Bachelor’s degree.
• Broad knowledge of financial products, markets, and regulatory frameworks such as FINRA and SEC rules.
• Excellent written and verbal communication skills for describing complex issues.
• Strong analytical, time management, and presentation skills.
• Integrity, motivation, and intellectual curiosity.
• Proficiency in Microsoft Word and Excel.

Nice to have

• Experience in compliance, auditing, risk testing, legal, or regulatory enforcement.
• Background in financial services, investment management, or accounting.
• Familiarity with Business Intelligence and AI tools.
• Knowledge of Alteryx.
• Fluency in French, Portuguese, Spanish, German, Italian, Japanese, Korean, or Mandarin Chinese.

Culture & Benefits

• Commitment to diversity, inclusion, and professional growth.
• Access to firmwide networks and training development opportunities.
• Comprehensive wellness, personal finance, and mindfulness programs.
• Collaborative workspace environment.
• Support for reasonable accommodations for candidates with disabilities.