Portfolio Trade Review Compliance Analyst

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

Job summary

WhiteCap Search is seeking an early-career compliance professional in New York with 1–3 years of relevant experience in finance and data analytics. You will monitor portfolios, develop SQL-based reports, and support the trade allocation and review process.

The role requires strong SQL, Excel, and analytical skills, with exposure to fixed income or other financial markets. Independent, curious, and able to work with cross-functional teams are essential traits.

Qualifications

• Bachelor's degree with strong academic credentials.
• Approximately 1–3 years of relevant experience in finance, investment management, risk, compliance, trade operations, portfolio analytics, or financial data.
• Strong SQL skills; experience with Python, R, VBA, or other programming languages is a plus.
• Strong Excel and analytical skills, with experience working with financial data, trade activity, alerts, or exception-based processes.
• Interest or exposure to fixed income, credit, structured products, or other financial markets.
• Highly analytical and inquisitive, with strong attention to detail and the ability to independently investigate and resolve issues.
• Ability to manage multiple priorities in a fast-paced, time-sensitive environment and communicate effectively with cross-functional teams.

Responsibilities

• Monitor portfolios and trades for compliance with client investment guidelines, internal risk parameters, and regulatory requirements.
• Develop reports and SQL-based diagnostics to identify potential compliance issues and investigate alerts.
• Oversee and support the daily trade allocation and review process.
• Work closely with Portfolio Management and Middle Office teams to research and resolve trade-related questions.
• Assist with legal and tax reviews of trades involving structured credit, bank loans, and other financial instruments.
• Analyze investment management agreements and other legal documentation to understand applicable investment restrictions.
• Monitor regulatory developments and assist in implementing new compliance surveillance processes.
• Administer the firm's employee personal trading program, including trade reviews and broker statement monitoring.
• Conduct periodic surveillance of employee electronic communications.
• Perform compliance screens and searches related to the firm's Code of Ethics and Compliance Manual, including OFAC, NFA membership, political contributions, and gifts and entertainment.
• Respond to ad-hoc compliance, trade, and portfolio-related requests from internal and external stakeholders.

Skills

SQL

Analytical thinking

Attention to detail

Multi-tasking

Education

Bachelor's degree

Tools

Python

R

VBA

Excel

Job description

The ideal candidate is an early-career professional with approximately 1-2 years of relevant experience who is intellectually curious and eager to learn. This person should be comfortable asking thoughtful questions, digging into unfamiliar issues, and working independently to understand and resolve problems. The team is particularly interested in candidates who combine financial markets knowledge with technical aptitude. Experience with SQL is important, while exposure to Python, R, or another programming language is a strong plus.

Candidates with an interest in fixed income, structured products, credit, or other financial markets will be particularly relevant.

Key Responsibilities

• Monitor portfolios and trades for compliance with client investment guidelines, internal risk parameters, and regulatory requirements.
• Develop reports and SQL-based diagnostics to identify potential compliance issues and investigate alerts.
• Oversee and support the daily trade allocation and review process.
• Work closely with Portfolio Management and Middle Office teams to research and resolve trade-related questions.
• Assist with legal and tax reviews of trades involving structured credit, bank loans, and other financial instruments.
• Analyze investment management agreements and other legal documentation to understand applicable investment restrictions.
• Monitor regulatory developments and assist in implementing new compliance surveillance processes.
• Administer the firm's employee personal trading program, including trade reviews and broker statement monitoring.
• Conduct periodic surveillance of employee electronic communications.
• Perform compliance screens and searches related to the firm's Code of Ethics and Compliance Manual, including OFAC, NFA membership, political contributions, and gifts and entertainment.
• Respond to ad-hoc compliance, trade, and portfolio-related requests from internal and external stakeholders.

Qualifications

• Bachelor's degree with strong academic credentials.
• Approximately 1-3 years of relevant experience in finance, investment management, risk, compliance, trade operations, portfolio analytics, or financial data.
• Strong SQL skills; experience with Python, R, VBA, or other programming languages is a plus.
• Strong Excel and analytical skills, with experience working with financial data, trade activity, alerts, or exception-based processes.
• Interest or exposure to fixed income, credit, structured products, or other financial markets.
• Highly analytical and inquisitive, with strong attention to detail and the ability to independently investigate and resolve issues.
• Ability to manage multiple priorities in a fast-paced, time-sensitive environment and communicate effectively with cross-functional teams.

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.