RIA Compliance & Automation Lead

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, 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.