Compliance Analyst

WhiteCap Search; New York (NY); On-site; USD 65,000 - 90,000; Full time

Job summary

WhiteCap Search is seeking candidates to thrive in a dynamic regulatory environment, tackling real-time compliance challenges for global investment products. You will engage with trading, operations, and software development teams to gain broad exposure within the firm.

The role involves preparing filings, designing monitoring reports, and ensuring strict policy adherence while participating in long-term projects to uphold high regulatory standards.

Qualifications

• Bachelor's degree or higher.
• Excellent analytical abilities, drafting, and verbal communication skills.
• Well-developed numeracy skills.
• 1–4 years of experience with demonstrated achievements.
• Organizational and project management acumen.
• Keen eye for detail and strong work ethic.

Responsibilities

• Prepare regulatory filings.
• Collaborate with compliance staff to support the firm’s business units.
• Design and review automated compliance monitoring reports.
• Ensure adherence to compliance policies.
• Work on long-term projects to maintain high compliance standards with new and existing regulations.

Skills

Analytical abilities

Drafting

Verbal communication

Numeracy

Organizational skills

Project management

Attention to detail

Education

Bachelor's degree

Job description

Function

We are seeking individuals who thrive in a dynamic regulatory environment and are eager to tackle real-time compliance challenges related to global investment products. This role provides a unique opportunity to engage with various facets of the firm, including trading, operations, and software development.

This position offers the opportunity for broad exposure to the firm’s trading, operations, and software development groups. It provides the chance to handle real-time issues related to the firm’s suite of global investment products in a fast-paced, constantly evolving regulatory environment.

• Prepare regulatory filings.
• Collaborate with compliance staff to support the firm’s business units.
• Design and review automated compliance monitoring reports.
• Ensure adherence to compliance policies.
• Work on long-term projects to maintain the firm’s high standards of compliance with new and existing regulations.

Requirements

• A bachelor’s degree or higher.
• Excellent analytical abilities, drafting, and verbal communication skills.
• Well-developed numeracy skills.
• 1 to 4 years of experience, along with a demonstrated record of achievement in academic and professional endeavors.
• Organizational and project management acumen.
• A keen eye for detail and an impressive work ethic.
• Prior experience in paralegal work, accounting, financial operations, compliance, or investment management is beneficial but not required.

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.