Compliance Generalist: Training, Monitoring & Registrations

WhiteCap Workforce Solutions; New York (NY); On-site; USD 70,000 - 95,000; Full time

Job summary

Whitecap Search in New York is seeking a detail‑oriented compliance professional to help ensure regulatory and internal policy adherence across the firm. You will support onboarding and offboarding, registrations, and tracking of required disclosures while collaborating with Recruiting and Human Capital Management.

The role covers training development, continuing education monitoring, policy drafting, and periodic reporting.

Qualifications

• 1–3 years of experience in compliance or related financial services.
• Experience with broker-dealer regulations preferred.
• Ability to manage multiple priorities and meet deadlines.
• Excellent written and verbal communication.

Responsibilities

• Assist in onboarding and offboarding processes for employees.
• Administer client registrations and filings.
• Coordinate with Recruiting and Human Capital for hires and terminations.
• Support employee compliance program and approvals.
• Develop and deliver new hire and annual compliance training.
• Monitor continuing education requirements.
• Support branch office reviews and supervisory records.
• Conduct electronic surveillance reviews and compliance testing.
• Draft and maintain compliance policies and procedures.
• Manage quarterly and annual employee certifications.
• Prepare periodic compliance reports and dashboards.
• Participate in regulatory, operational, and strategic compliance projects.

Skills

Regulatory compliance

Project management

Written and verbal communication

Stakeholder engagement

Tools

Client CRD

Client Gateway

Compliance management systems

Job description

Whitecap Search in New York is seeking a detail‑oriented compliance professional to help ensure regulatory and internal policy adherence across the firm. You will support onboarding and offboarding, registrations, and tracking of required disclosures while collaborating with Recruiting and Human Capital Management.

The role covers training development, continuing education monitoring, policy drafting, and periodic reporting.