Senior Compliance Officer

WhiteCap Workforce Solutions; New York (NY); On-site; USD 250,000 - 450,000; Full time

Job summary

WhiteCap Workforce Solutions seeks a seasoned compliance executive for a temporary-to-permanent role based in New York, NY. The successful candidate will join the Executive Team to assess the compliance program, assume substantive responsibilities, and demonstrate readiness for a permanent appointment.

The role requires leading the company’s compliance framework, managing regulatory inquiries, and coordinating with fund groups, while mentoring staff and ensuring adherence to evolving rules.

Qualifications

• 10–15 years of relevant experience, preferably at a large law firm or investment bank.
• Direct, hands-on compliance experience for a registered investment adviser.
• Experience in private credit, alternative investments, or asset-based financing; fund structures and investor due diligence.
• Knowledge of marketing rules, sanctions requirements, and Code of Ethics administration.
• Ability to manage competing priorities and communicate effectively with the Executive Team, regulators, and investors.

Responsibilities

• Provide advice on compliance and regulatory matters; manage offshore boards and the Conflict Advisory Board.
• Assist in launching and managing funds; respond to investor inquiries and due diligence requests; serve on committees.
• Prepare for, manage, and resolve regulatory inquiries, examinations, and investigations; prepare required filings.
• Own the framework for compliance policies, procedures, and controls; ensure timely policy reviews and updates.
• Develop and deliver employee compliance training, including annual meetings and ongoing awareness sessions.
• Establish strong relationships with other groups within the company and monitor employee conduct.
• Lead the anti-money laundering and sanctions program; coordinate with service providers on monitoring.
• Review and approve marketing materials to ensure regulatory compliance.
• Provide legal support as requested, leveraging prior legal or transactional experience.

Skills

Compliance leadership

Regulatory affairs

Risk management

Regulatory communications

Project coordination

Education

J.D.

Tools

Regulatory filings software

Job description

Our client is a registered investment adviser specializing in various financial strategies. It is subject to regulations requiring the maintenance, implementation, and annual review of compliance policies and procedures, with a designated Chief Compliance Officer responsible for administering the program.

Our client is a registered investment adviser specializing in various financial strategies. It is subject to regulations requiring the maintenance, implementation, and annual review of compliance policies and procedures, with a designated Chief Compliance Officer responsible for administering the program.

Position Summary

The company is seeking a candidate to join on a temporary-to-permanent basis, with a clearly defined path to a leadership role. During the initial engagement period, the candidate will work closely with the Executive Team and existing Compliance function to assess the compliance program, assume substantive responsibilities, and demonstrate readiness for permanent appointment. Conversion to the permanent role is contingent on mutual fit, satisfactory performance during the evaluation period, and approval of the Executive Team.

This position is based in the vibrant city of New York, NY, offering a dynamic and fast-paced environment with numerous professional opportunities.

Duties and Responsibilities

• Provide advice on compliance and regulatory matters, strategic initiatives, and other matters; manage any offshore boards of directors and the Conflict Advisory Board.
• Assist in launching new funds and managing existing funds; help respond to investor inquiries and due diligence requests; arrange for ongoing compliance satisfaction; serve on applicable committees.
• Assist in preparing for, managing, and resolving issues stemming from regulatory inquiries, examinations, and investigations; prepare and submit required filings.
• Own and maintain the framework for compliance policies, procedures, and controls; ensure policy owners review and update policies on a timely basis.
• Develop and deliver employee compliance training, including the annual compliance meeting, ad hoc training on select topics, and ongoing awareness sessions.
• Establish and maintain strong relationships and open communication with other groups within the company.
• Monitor employee conduct and address violations.
• Lead the company's anti-money laundering and sanctions program and coordinate with service providers on transaction and investor monitoring.
• Review and approve marketing materials and ensure adherence to relevant regulations.
• Provide legal support as requested, drawing on prior legal or transactional experience.

Required Qualifications and Experience

• A minimum of 10 to 15 years of relevant experience, with a background at a large law firm or an investment bank strongly preferred.
• Direct, hands-on experience administering compliance for a registered investment adviser, including familiarity with relevant regulations and forms.
• Specific experience in private credit, alternative investments, or asset-based finance; familiarity with fund structures, investor due diligence, and regulatory considerations.
• Working knowledge of relevant marketing rules, sanctions requirements, Code of Ethics administration, and compliance standards.
• J.D. preferred; advanced degree or relevant professional certification a plus.
• Demonstrated ability to manage competing priorities, exercise sound judgment on regulatory and reputational risk, and communicate effectively with the Executive Team, regulators, and investors.
• Prior experience leading or co-leading a compliance function, with demonstrated readiness to assume accountability, is 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.