Compliance Analyst (EA9951C)

Referment; New York (NY); On-site; USD 75,000 - 100,000; Full time

Job summary

Referment is seeking a Compliance Analyst to help ensure regulatory requirements are met across investment activities. You will work with attorneys and compliance professionals, gaining exposure to trading, operations, and software-development teams to address real-time compliance questions globally.

The role combines regulatory work, analytical review, and project delivery, including preparing filings, supporting business teams, and developing automated monitoring to embed rules into processes.

Qualifications

• Bachelor's degree or higher with a record of high academic achievement or honors.
• One to four years of post-graduate professional experience.
• Broad-based experience in Internal Audit or process-oriented risk analysis across multiple domains.
• Strong analytical ability and technical proficiency with data analytics or visualization tools such as Power BI, R, or STATA.
• Clear drafting skills, with experience producing formal audit workpapers or detailed regulatory reports.
• Good organisation and project-management capability, with the discipline to progress detailed work reliably.
• A demonstrated record of achievement and a willingness to learn unfamiliar regulatory and business topics.

Responsibilities

• Prepare regulatory filings and support attorneys and compliance colleagues on business-facing matters.
• Help business teams understand and adhere to relevant compliance policies.
• Design and review automated compliance-monitoring reports, investigating issues with care and accuracy.
• Respond to live regulatory and operational questions involving investment activity.
• Contribute to longer-term projects that maintain compliance with new and existing regulations.

Skills

Analytical thinking

Drafting

Project management

Education

Bachelor's degree or higher

Tools

Power BI

R

STATA

Job description

Referment is working with a global investment and technology firm seeking a Compliance Analyst to help ensure its business activity meets evolving regulatory requirements. Working alongside attorneys and compliance professionals, you will gain exposure to trading, operations and software-development teams and help address real-time compliance questions across global investment products.

The position combines regulatory work, analytical review and project delivery. You will prepare filings, support business teams and work with automated monitoring, while contributing to longer-term initiatives that embed new and existing rules into the organisation’s processes.

The Role

• Prepare regulatory filings and support attorneys and compliance colleagues on business-facing matters.
• Help business teams understand and adhere to relevant compliance policies.
• Design and review automated compliance-monitoring reports, investigating issues with care and accuracy.
• Respond to live regulatory and operational questions involving investment activity.
• Contribute to longer-term projects that maintain compliance with new and existing regulations.

What We’re Looking For

• A bachelor’s degree or higher with a record of high academic achievement or honors.
• One to four years of post-graduate professional experience.
• Broad-based experience in Internal Audit or process-oriented risk analysis across multiple domains.
• Strong analytical ability and technical proficiency with data analytics or visualization tools such as Power BI, R, or STATA.
• Clear drafting skills, with experience producing formal audit workpapers or detailed regulatory reports.
• Good organisation and project-management capability, with the discipline to progress detailed work reliably.
• A demonstrated record of achievement and a willingness to learn unfamiliar regulatory and business topics.

This role is well-suited for a professional with a background in Internal Audit, risk analysis, or an analytically strong graduate looking to build broad investment-management compliance experience. We are seeking candidates with a versatile, process-oriented approach to risk rather than those with a narrow focus on specific functional niches. Previous experience in accounting, financial operations, or paralegal work is also welcomed.

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