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Role deep-dive· Compliance & platform

🛡️Compliance Technology Analyst — Wealth / RegTech

You implement Actimize transaction monitoring rules at a registered investment advisor acquiring an RIA in Texas, tuning

Sourced from 7 recent JDs · snapshot taken 2026-06-20

Salary Lab · live estimate

What this role pays — by city, years & skill stack

New York · Wall Street + wirehouses + a fintech bench
$82k
$64k – $107k median band

Illustrative ranges — calibrated from Levels.fyi, Glassdoor and Robert Half wealth-tech guides. Real offers vary widely by firm, equity, and team. Use this to compare cities & skill stacks, not as a quote.

How the work gets done

The same four lenses applied to every capability and skill page.

Trading & rebalancing

2 operations

  • Tax-aware lot selection & wash-sale guard

    daily

    Proposed trades respect ST/LT gain limits, holding-period rules, and cross-account wash-sale windows.

  • Pre-trade compliance checks

    daily

    Suitability, concentration, restricted lists, and IPS bands enforced before the order leaves the OMS.

Compliance & RegTech

6 operations

  • Trade & personal-trading surveillance

    daily

    Personal-trade pre-clearance, restricted-list checks, and post-trade scans all roll up to one analyst queue.

  • Communications archiving & lexicon flagging

    daily

    Email, chat, and voice captured with lexicon flags routed to reviewers; retention satisfies SEC 17a-4.

  • Marketing-rule review

    weekly

    Performance claims, testimonials, and endorsements queue for review with disclosures matched to the asset.

  • Analyst investigation & disposition

    weekly

    Each flag has a one-screen investigation packet with linked evidence; disposition logged with reasoning.

  • Reg BI / fiduciary documentation

    event

    Each recommendation carries a contemporaneous best-interest memo, linked to the supporting plan analysis.

  • Audit trail & exam evidence packs

    event

    One click produces a date-bounded evidence package with comms, trades, attestations, and dispositions.

Day-in-the-life

Day-in-the-life (sourced from 7 recent JDs)

You implement Actimize transaction monitoring rules at a registered investment advisor acquiring an RIA in Texas, tuning alert thresholds to reduce false-positive rates while maintaining SEC examination readiness.

Top skills for this role

  • Job demand45%
  • Job demand55%
  • Job demand42%
  • Job demand85%
  • Job demand38%
  • Job demand82%

How this role evolves

As advisor-facing agents mature, the work splits into judgment humans keep and execution agents own.

Humans keep doing
  • →Regulatory interpretation
  • →Conflict-of-interest judgment
  • →Exam defense
Agents take over
  • →Alert prioritisation
  • →Prompt-version archiving
  • →First-pass risk flagging
Adjacent future role
🔍Compliance Prompt Auditor

Reviews and signs off on the prompts and tool calls that touch client advice.

Features you'd touch in this role
Recommended path

How to land — and survive — as a Compliance Technology Analyst — Wealth / RegTech

  1. Step 1 · Free · play now
    Run the Skill DNA drill — see where you stand on KYC / AML triage
    Hands-on drill

    A fast, scenario-based self-assessment. Replayable, no signup, 5–10 minutes. Different from the multiple-choice quizzes further down the page.

    Start the drill
  2. Step 2 · Premium · full playbook
    Compliance Technology Analyst — Wealth / RegTech playbook (preview)

    Hand-curated checklists, real templates, and the failure modes nobody documents — see the first 30% free.

    Preview the playbook
    Preview
  3. Step 3 · 1:1 · operator session
    Mock interview with an operator

    30-minute 1:1: role-specific case prompts, portfolio review, and offer-negotiation talk-track.

    Book a slot
    Live
Practice & explore

Drills, quizzes, vendor matrix, industry map, and reads — all in one place.

Related Fintech Maps

All maps →

Zoom out from the role: see where the work is being rewritten, who's hiring, and how the vendor stack shifts.

Fintech MapRegulatory FlowRules that reshape how the work gets doneOpen map Fintech MapAI ImpactWhich capabilities AI is rewriting firstOpen map Fintech MapJobs MapWhere wealth-tech is hiring right nowOpen map Fintech MapVendor DensityWhere wealth-tech is most crowdedOpen map
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