Compliance Generalist: Regulatory & Employee Programs

WhiteCap Search; New York (NY); On-site; USD 70,000 - 100,000; Full time

Job summary

WhiteCap Search in New York seeks a detail-oriented compliance professional to support regulatory requirements and internal policies across multiple disciplines. You will assist with onboarding and offboarding, regulatory registrations, training materials, and reporting to ensure firm-wide adherence.

Collaborate with Recruiting and Human Capital Management, monitor continuing education, and maintain supervisory controls and records.

Qualifications

• 1-3 years of experience in compliance, registrations, or related financial services functions.
• Experience using Client CRD, Client Gateway, and compliance management systems is preferred.
• Working knowledge of broker-dealer regulations and compliance practices.

Responsibilities

• Assist in managing employee onboarding and offboarding processes for registered and non-registered employees, including regulatory registrations and disclosures.
• Administer Client registration program including Form U4/U5 filings and disclosures; coordinate training materials and exams.
• Liaise with Recruiting and HR for new hires, terminations, and compliance matters.
• Assist in administering the firm's employee compliance program (personal securities, outside business activities, gifts, etc.).
• Support development, coordination, and delivery of new hire and annual compliance training programs.
• Monitor continuing education requirements and communicate with registered personnel.
• Support branch office reviews and supervisory control processes.
• Conduct surveillance reviews and monitoring for regulatory and policy compliance.
• Draft, revise, and maintain compliance policies and procedures.

Skills

Regulatory compliance

Onboarding & offboarding

Project management

Tools

Client CRD

Client Gateway

Job description

WhiteCap Search in New York seeks a detail-oriented compliance professional to support regulatory requirements and internal policies across multiple disciplines. You will assist with onboarding and offboarding, regulatory registrations, training materials, and reporting to ensure firm-wide adherence.

Collaborate with Recruiting and Human Capital Management, monitor continuing education, and maintain supervisory controls and records.