Compliance Officer (A7899C5)

Referment; New York (NY); On-site; USD 110,000 - 170,000; 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 firm. You will work alongside legal, operations, investment and technology colleagues, gaining exposure to trading activities and evolving regulatory frameworks.

The role offers ownership: you will interpret requirements, design reviews, document findings and help senior stakeholders understand compliance performance and emerging

Qualifications

• Bachelor's degree or higher with 4–8 years in compliance, audit, legal or related operations.
• Strong analytical judgement and comfort with data; interest in using technology to improve compliance.
• Clear written and verbal communication for senior audiences.
• Ability to coordinate large processes across multiple business and control functions.
• Investment-adviser or broader financial-services experience is useful but not essential.

Responsibilities

• Translate regulatory requirements into compliance test plans and document findings.
• Analyse investment-adviser obligations considering 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 understand and meet regulatory obligations.

Skills

Regulatory analysis

Testing

Data analysis

Training development

Third-party oversight

Stakeholder communication

Education

Bachelor's degree or higher

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 legal, 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.

The Role

• 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.

What We're Looking For

• 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.

This could suit a compliance-testing, regulatory-change, audit or operational-risk professional seeking wider programme ownership within an investment environment.

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