WhiteCap Search · 1 week ago
Compliance Analyst - Investment Bank
New York, NY
Full-time
Hybrid
Entry Level
$30/hr - $33/hr
1+ years expWhiteCap Search is representing an industry-leading investment bank seeking an experienced Compliance Analyst. The role involves monitoring electronic communications, conducting compliance testing, and supporting the Billing team in a dynamic work environment.
Professional ServicesRecruitingStaffing Agency
Responsibilities
Monitor electronic communications, conduct compliance testing and reviews, and maintain the firm’s e-communication archiving and surveillance system
Assist with new hire onboarding and leaver off-boarding processes within Compliance
Respond to compliance approvals and disclosure requests
Process new hire and leaver information and perform data integrity reviews in the Compliance system
Support regulatory and firm-element training preparation, audits, regulatory exams, and investigations
Assist with reporting, drafting, and maintaining policies, procedures, and operating standards
Contribute to other projects and initiatives as requested by the Compliance team, including ad-hoc assignments
Qualification
Required
1 year of relevant experience
Preferred
Accounting degree preferred
Experience in Accounts Receivable
Workday Financials experience preferred
Company
WhiteCap Search
WhiteCap Search is a staffing and recruiting firm that functions to enhance the experience of the job search process.
51-200 employees
Funding
Current Stage
Growth StageLeadership Team
J
Jerry Battipaglia
Co-Founder & CEO
B
Barbara Tamberlane
COO and Founding Partner
Company data provided by crunchbase