RIA Compliance Lead: RegTech & Automation Champion

Referment; New York (NY); Presencial; USD 150.000 - 190.000; Tempo integral

Resumo da vaga

Referment is partnering with a global investment firm to recruit a compliance professional for testing, regulatory analysis, training, and third-party oversight. You will collaborate with operations, investment, and technology teams, gaining exposure to trading activities and related regulatory frameworks.

The role emphasizes ownership—interpreting requirements, documenting findings, and briefing senior stakeholders on performance and obligations.

Qualificações

• Bachelor's degree or higher and 4+ years in compliance, audit, or related operations.
• Direct experience with Investment Adviser (RIA) compliance is essential.
• Proven track record implementing RegTech stacks and automation in compliance.
• Strong analytical mindset with data and technology-focused approach, incl. AI/LLMs.

Responsabilidades

• Translate regulatory requirements into compliance test plans and document findings.
• Lead RIA compliance activities and manage regulatory filings.
• Drive automation initiatives and implement RegTech solutions to streamline workflows.
• Analyze adviser obligations and monitor third-party providers against expectations.
• Prepare metrics and reports for senior stakeholders and develop training.

Conhecimentos

Compliance testing

Regulatory analysis

Automation

AI/LLMs in compliance

Data analysis

Communication

Cross-functional collaboration

Formação

Bachelor's degree or higher

Ferramentas

RegTech stack

Descrição da vaga

Referment is partnering with a global investment firm to recruit a compliance professional for testing, regulatory analysis, training, and third-party oversight. You will collaborate with operations, investment, and technology teams, gaining exposure to trading activities and related regulatory frameworks.

The role emphasizes ownership—interpreting requirements, documenting findings, and briefing senior stakeholders on performance and obligations.