Compliance Lead: Testing, Oversight & Training

Referment; New York (NY); On-site; USD 120,000 - 180,000; Full time

Job summary

Referment is seeking a compliance professional for a broad role spanning testing, regulatory analysis, training and third-party oversight within a global investment environment. You will interpret requirements, design reviews, document findings and help senior stakeholders understand compliance performance and emerging obligations.

The role involves translating regulatory requirements into test plans, analysing investment-adviser obligations, monitoring third-party providers, preparing metrics

Qualifications

• A bachelor's degree or higher and four to eight years of compliance, audit, legal or relevant operational experience.
• Strong analytical judgement, comfort with data and an interest in using technology to improve compliance processes.
• Clear written and verbal communication, including reporting for senior audiences.
• The ability to coordinate large processes across several business and control functions.
• Investment-adviser or broader financial-services experience is useful but not essential.

Responsibilities

• Translate regulatory requirements into compliance test plans, conduct reviews and document findings and recommendations.
• Analyse investment-adviser obligations, including the implications of new initiatives and policy changes.
• Monitor third-party providers against contractual and regulatory expectations.
• Prepare metrics and reports for senior stakeholders.
• Develop training that helps colleagues understand and meet regulatory obligations.

Skills

Analytical judgement

Data literacy

Clear communication

Regulatory coordination

Education

Bachelor's degree or higher

Job description

Referment is seeking a compliance professional for a broad role spanning testing, regulatory analysis, training and third-party oversight within a global investment environment. You will interpret requirements, design reviews, document findings and help senior stakeholders understand compliance performance and emerging obligations.

The role involves translating regulatory requirements into test plans, analysing investment-adviser obligations, monitoring third-party providers, preparing metrics