WhiteCap Search · 2 weeks ago
Compliance Analyst/Associate - Credit Fund
New York, NY
Full-time
Hybrid
Entry, Mid Level
$100K/yr - $140K/yr
2+ years expWhiteCap Search is representing one of the largest Credit Funds in the world, which is seeking an Analyst/Associate to join their Compliance team in New York. The role involves supporting all aspects of the firm’s compliance functions and requires knowledge of AML/KYC compliance requirements, as well as monitoring adherence to the firm’s Code of Ethics.
Professional ServicesRecruitingStaffing Agency
Responsibilities
Be knowledgeable about material non-public information and restricted list implications
Become familiar with a complex set of business strategies, funds, and fund guidelines
Interface directly with Investment Professionals in a fast-paced environment
Possess knowledge of AML/KYC compliance requirements
Conduct routine, targeted, and ad hoc testing/surveillance
Monitor adherence to the firm’s Code of Ethics, including personal trading, gifts and entertainment, and political contributions
Qualification
Required
Bachelor's Degree
2-7 years of work experience in the financial services industry
Be knowledgeable about material non-public information and restricted list implications
Become familiar with a complex set of business strategies, funds, and fund guidelines
Interface directly with Investment Professionals in a fast-paced environment
Possess knowledge of AML/KYC compliance requirements
Conduct routine, targeted, and ad hoc testing/surveillance
Monitor adherence to the firm's Code of Ethics, including personal trading, gifts and entertainment, and political contributions
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