WhiteCap Search · 4 days ago
Head Of Central Compliance - Americas
Manhattan, NY
Full-time
Hybrid
Director/Executive
$250K/yr - $300K/yr
10+ years expWhiteCap Search is a rapidly expanding financial services firm seeking a dynamic Head of Central Compliance to join its New York City office. This hybrid role involves leading and modernizing core compliance functions while partnering with senior leadership to promote a culture of integrity and regulatory excellence.
Professional ServicesRecruitingStaffing Agency
Responsibilities
Manage the anti-money laundering program, including policies, procedures, third-party KYC/onboarding screening, and annual independent reviews, as well as Sanctions compliance
Oversee the design and implementation of the firm’s personal account dealing platform and processes
Develop and implement regulatory registration processes and track all associated continuing education deadlines
Design and enforce information barrier controls
Document and maintain compliance with books and records requirements
Coordinate and execute the Compliance training program
Design and implement the firm’s Compliance policy governance framework and platform, including periodic reviews and updates
Lead periodic Compliance risk assessments and identify related testing priorities
Qualification
Required
Bachelor's degree in Finance or a related field
10-15+ years of progressive compliance experience at a U.S. broker-dealer
Preferred
J.D. or relevant advanced degree
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
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