RIA Compliance Lead & RegTech Innovator

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 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.