Compliance Officer (7BD0E69)

Referment; New York (NY); On-site; USD 100,000 - 180,000; Full time

Job summary

Referment, a partner to a global investment firm, is seeking a compliance professional for a broad role spanning testing, regulatory analysis, training and third-party oversight. You will work with operations, investment and technology teams, gaining exposure to trading activities and evolving regulatory frameworks.

This role offers ownership to interpret requirements, design reviews, document findings, and communicate compliance performance to senior stakeholders.

Qualifications

• Bachelor's degree or higher with 4+ years in compliance or audit.
• Direct Investment Adviser (RIA) compliance experience is essential.
• Experience with RegTech stacks and automation.

Responsibilities

• Translate regulatory requirements into compliance test plans and document findings.
• Lead Investment Adviser (RIA) compliance activities including Rule 206(4)-7 reviews and filings.
• Drive compliance automation and implement RegTech solutions to streamline workflows.
• Analyse adviser obligations amid new initiatives and policy changes.
• Monitor third-party providers against contractual and regulatory expectations.
• Prepare metrics and reports for senior stakeholders.
• Develop training to help colleagues meet regulatory obligations.

Skills

RegTech automation

Regulatory analysis

Data-driven testing

Cross-functional collaboration

Education

Bachelor's degree

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