Join Whitecap Search, a dynamic and growing organization, where you will play a vital role in ensuring compliance with regulatory requirements and internal policies. This position offers an excellent opportunity to develop your expertise across multiple compliance disciplines while supporting various functions within the firm. If you are a detail-oriented professional with a passion for compliance and a commitment to excellence, we encourage you to apply.
Responsibilities:
Employee onboarding- Assist in managing employee onboarding and offboarding processes for registered and non-registered employees, including regulatory registrations, required disclosures, and termination-related compliance matters Compliance registration - Administering the Client registration program, which includes processing Form U4/U5/Client filings, amendments and disclosures and coordinating the scheduling of employee exams and training materials Liaison with Recruiting and Human Capital Management for all recruiting, new hire and termination matters Employee Compliance - Assist in the administration of the Firm's employee compliance program, including review and approval of personal securities transactions, outside business activities, private investments, gifts and entertainment, and political contribution requests Compliance Training - Assist in the development, coordination, and delivery of new hire and annual compliance training programs Continuing Education - Monitor regulatory continuing education requirements and communicate with registered personnel to ensure timely completion Supervision - Support branch office reviews, supervisory control processes, and maintenance of the Firm's supervisory structure and records Surveillance and Monitoring - Conduct electronic communications surveillance reviews and perform compliance monitoring and testing to assess adherence to regulatory requirements, internal policies and procedures, and books and records obligations Policy & Procedures - Draft, revise, and maintain compliance policies, procedures, and related documentation
Certifications:- Manage quarterly and annual employee certifications, attestations, and related follow-up processes
- Reporting and Metrics - Prepare periodic compliance reports and metrics, including supervisory reports, management reporting, and regulatory or departmental dashboards
- Projects - Participate in regulatory, operational, and strategic compliance projects and initiatives as needed
Qualifications:- 1-3 years of experience in compliance, registrations, employee compliance, legal, regulatory, or related financial services functions. Experience supporting investment banking or broker-dealer activities is preferred
- Experience using Client CRD, Client Gateway, and/or compliance management systems is preferred
- Working knowledge of broker-dealer regulations and compliance practices, with a demonstrated willingness to learn and develop expertise across multiple compliance disciplines
- Strong organizational and project management skills, with the ability to manage multiple priorities, meet deadlines and identify potential compliance risks
- Excellent written, verbal, and interpersonal communication skills
- Ability to build effective working relationships with employees and stakeholders at all levels, including senior management and bankers
- Client Series 7 and/or Series 24 licenses are preferred; willingness to obtain required registrations upon hire is expected
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 guarantee of certain compensation package for 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.
