WhiteCap Search · 4 days ago
Trade Control Compliance Associate
Manhattan, NY
Full-time
Hybrid
Entry, Mid Level
$55/hr - $80/hr
2+ years expWhiteCap Search is a prominent private firm in NYC seeking an experienced Trade Control Compliance Associate to join their growing team. The role involves maintaining restricted lists, managing workflows, and providing compliance guidance while collaborating with traders and investment professionals.
Professional ServicesRecruitingStaffing Agency
Responsibilities
Maintain and update restricted lists and watch lists, ensuring timely addition and removal of securities and individuals
Manage NNPI (Non-Negotiable Personal Information) and MNPI workflows, including review and clearance processes
Monitor and update corporate structures in internal systems to ensure alignment with firmwide information barriers
Partner with traders and investment professionals to provide compliance guidance related to restricted activity
Liaise with other compliance teams, including Legal and Surveillance, to share updates and escalate potential issues
Utilize Bloomberg and internal systems for research and monitoring of securities and market activity
Provide support for regulatory inquiries and internal audits as needed
Contribute to daily Control Room operations, including recordkeeping, approvals, and internal reporting
Qualification
Required
2-3 years of control room and compliance coming from a public trading business and maintaining a restricted list is required
MNPI Analysis experience is required
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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