Compliance Officer (76297C8)

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

Job summary

Referment, a global investment firm, seeks a compliance professional for testing, regulatory analysis, training and third-party oversight across investment adviser rules, gaining exposure to trading activities.

You will own the process: interpret requirements, design reviews, document findings and report to senior stakeholders, with a focus on modernizing compliance through automation and RegTech solutions.

Qualifications

• A bachelor's degree or higher and a minimum of four years of compliance, audit, or relevant operational experience.
• Direct experience with Investment Adviser (RIA) compliance is essential for this role.
• Demonstrated expertise in compliance automation and a strong track record of implementing RegTech stacks.
• Strong analytical judgement, comfort with data, and an interest in using technology, including AI or LLMs, to improve compliance processes and automate surveillance.
• Clear written and verbal communication, including reporting for senior audiences.
• The ability to coordinate large processes across several business and control functions.

Responsibilities

• Translate regulatory requirements into compliance test plans, conduct reviews and document findings and recommendations.
• Lead Investment Adviser (RIA) compliance activities, including Rule 206(4)-7 reviews and the management of regulatory filings such as Form ADV, Form PF, and 13F/G.
• Drive compliance automation initiatives and manage the implementation of RegTech solutions to streamline internal workflows.
• 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

RegTech

Automation

Data analysis

Compliance testing

Regulatory reporting

Cross-functional collaboration

AI/LLMs interest

Education

Bachelor's degree

Tools

RegTech stacks

Regulatory reporting tools

Job description

Referment is working with a global investment firm to find a compliance professional for a broad role spanning testing, regulatory analysis, training and third-party oversight. You will work with operations, investment and technology colleagues, gaining close exposure to trading activities and the regulatory frameworks around them.

The position offers genuine ownership: you will interpret requirements, design reviews, document findings and help senior stakeholders understand compliance performance and emerging obligations. A key focus of this role is the modernization of compliance functions through automation and technology.

The Role

• Translate regulatory requirements into compliance test plans, conduct reviews and document findings and recommendations.
• Lead Investment Adviser (RIA) compliance activities, including Rule 206(4)-7 reviews and the management of regulatory filings such as Form ADV, Form PF, and 13F/G.
• Drive compliance automation initiatives and manage the implementation of RegTech solutions to streamline internal workflows.
• 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.

What We're Looking For

• A bachelor's degree or higher and a minimum of four years of compliance, audit, or relevant operational experience.
• Direct experience with Investment Adviser (RIA) compliance is essential for this role.
• Demonstrated expertise in compliance automation and a strong track record of implementing RegTech stacks.
• Strong analytical judgement, comfort with data, and an interest in using technology, including AI or LLMs, to improve compliance processes and automate surveillance.
• Clear written and verbal communication, including reporting for senior audiences.
• The ability to coordinate large processes across several business and control functions.

This role is well-suited for a compliance-testing, regulatory-change, audit or operational-risk professional with a strong technical orientation who is seeking wider programme ownership within an investment environment.

#Referment