RIA Compliance Lead: Automation & RegTech

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 who will span testing, regulatory analysis, training and third‑party oversight. You will drive automation to modernize compliance functions while interacting with operations, investment and tech teams in a fast-paced trading environment.

The role emphasizes ownership: design review, document findings, and present regulatory performance insights to senior stakeholders, with exposure to evolving obligations and

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 analytics

AI/LLMs

Communication

Cross-functional coordination

Education

Bachelor's degree or higher

Tools

Automation platforms

Job description

Referment is partnering with a global investment firm to hire a compliance professional who will span testing, regulatory analysis, training and third‑party oversight. You will drive automation to modernize compliance functions while interacting with operations, investment and tech teams in a fast-paced trading environment.

The role emphasizes ownership: design review, document findings, and present regulatory performance insights to senior stakeholders, with exposure to evolving obligations and