Administrative Assistant

WhiteCap Search; New York (NY); On-site; USD 50,000 - 70,000; Full time

Job summary

Whitecap Search is looking for a highly organized, detail-oriented professional to support departmental operations within a fast-paced, highly regulated financial services environment. This role entails ongoing department organization, tracking, reporting, documentation, file maintenance, and administrative monitoring.

Responsibilities include Department Organization & Personnel Tracking, Compliance & Regulatory Tracking, Employee Account & Activity Reporting, Research & Product Desk Support,

Qualifications

• 2 years of administrative experience in a professional, fast-paced environment.
• Experience in financial services or regulated corporate settings preferred.
• Strong organizational and time-management skills.
• Excellent attention to detail and accuracy.
• Ability to manage multiple recurring deadlines and priorities.
• Strong Excel skills including pivot tables and reporting.

Responsibilities

• Department Organization & Personnel Tracking
• Compliance & Regulatory Tracking
• Employee Account & Activity Reporting
• Research, Sales & Product Desk Support
• Reporting, Reconciliation & Data Management

Skills

Organizational skills

Time management

Attention to detail

Excel pivot tables

Communication

Tools

Excel

Job description

Whitecap Search is looking for a highly organized, detail-oriented professional to support departmental operations within a fast-paced, highly regulated financial services environment. This role entails ongoing department organization, tracking, reporting, documentation, file maintenance, and administrative monitoring.

Responsibilities

• Department Organization & Personnel Tracking
  • Maintain accurate department headcount records and organizational tracking.
  • Track employee registrations, work locations, new hires, and personnel changes.
  • Coordinate and maintain new-hire documentation, including required forms, Continuing Education (CE), certifications, and related records.
  • Maintain organized departmental files and ensure documentation is complete, current, and readily accessible.
  • Maintain and organize WORM files and other required departmental records.
• Compliance & Regulatory Tracking
  • Manage OBA/OI submissions and logs, ensuring submissions are properly tracked and documented.
  • Monitor employee Continuing Education (CE) requirements and completion status.
  • Coordinate logistics and ongoing monitoring for ACM requirements and activities.
  • Coordinate and monitor Annual Questionnaires, including distribution, completion tracking, and follow-up.
  • Manage Ad-Trax submissions and tracking logs.
  • Maintain and review departmental error logs and perform end-of-month (EOM) comparisons.
• Employee Account & Activity Reporting
  • Maintain employee account records and perform monthly, new-hire, and quarterly comparisons against headcount and OPCO statement reports.
  • Track and analyze employee PTA activity, including department and Desk Manager reporting, breakdowns, and pivot-table analysis.
  • Prepare CA monthly, new-hire, and quarterly comparisons against department headcount.
  • Maintain and review Scorecard reports, including monthly comparisons to headcount and prior-month results.
  • Maintain the EDC monthly log and conduct quarterly DL reviews.
  • Track and report activity for dual-role Financial Advisors (FAs), including retail and institutional activity on a monthly basis.
• Research, Sales & Product Desk Support
  • Support monthly monitoring and reporting for the Research Sales Product Desk.
  • Perform monthly comparisons of EMR institutional activity against applicable Product Desk Restricted Lists.
  • Identify discrepancies, maintain appropriate logs, and elevate issues to the appropriate department or manager.
• Reporting, Reconciliation & Data Management
  • Prepare recurring monthly and quarterly reports, comparisons, logs, and tracking documents.
  • Perform data reconciliation across multiple internal reports and systems.
  • Create and maintain pivot tables, data breakdowns, and management reporting.
  • Identify discrepancies and follow up to ensure accurate resolution.
  • Maintain a consistent and audit-ready filing and documentation system.
  • Assist with special projects, reporting requests, and departmental initiatives as needed.

Requirements

• 2 years of administrative experience in a professional, fast-paced environment.
• Experience supporting a financial services, broker-dealer, investment management, or regulated corporate environment is strongly preferred.
• Exceptional organizational and time-management skills.
• Strong attention to detail and accuracy.
• Ability to manage multiple recurring deadlines and priorities.
• Strong Excel skills, including pivot tables, data comparisons, filtering, sorting, and reporting.

Disclosure: The hourly rates and/or salaries listed may or may not reflect total compensation packages including bonus and fringe benefits, etc., nor are the advertisement(s) posted a guarantee of a certain compensation package for a position or bona fide offer of employment. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, or protected veteran status and will not be discriminated against on the basis of disability.