Compliance Officer (C87BD0E)

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

Job summary

Referment is partnering with a global investment firm to hire a compliance professional focused on testing, regulatory analysis, training, and third-party oversight. You will work with operations, investment and technology colleagues, gaining exposure to trading activities and the regulatory frameworks that govern them.

The role emphasizes ownership: interpreting requirements, documenting findings, and communicating regulatory performance to senior stakeholders.

Qualifications

• A bachelor’s degree or higher and at least four years in compliance, audit, or related operations.
• Direct experience with Investment Adviser (RIA) compliance is essential for this role.
• Demonstrated expertise in compliance automation and RegTech implementations.

Responsibilities

• Translate regulatory requirements into compliance test plans and document findings.
• Lead Investment Adviser (RIA) compliance activities, including Form ADV, Form PF, and 13F/G filings.
• Drive automation initiatives and implement RegTech solutions to streamline workflows.
• Analyze adviser obligations amid new policy changes and initiatives.
• Monitor third-party providers against contractual and regulatory expectations.
• Prepare metrics and reports for senior stakeholders.
• Develop training to educate colleagues on regulatory obligations.

Skills

RegTech

Automation

Data analysis

Regulatory reporting

Stakeholder comms

Education

Bachelor's degree or higher

Tools

AI/LLMs

RegTech 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