WhiteCap Search
Head Of Central Compliance - Americas
Join WhiteCap Search as the Head of Central Compliance - Americas, based in New York City, NY. This hybrid role will lead and modernize core compliance functions, enhance firmwide controls, and partner closely with senior leadership to support a culture of integrity and regulatory excellence.
Base pay range $250,000.00/yr - $300,000.00/yr
Responsibilities
Manage the anti‑money laundering program, including policies, procedures, third‑party KYC/onboarding screening, annual independent reviews, and sanctions compliance.
Oversee the design and implementation of the firm’s personal‑account dealing platform and related 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 compliance policy governance framework and platform, including periodic reviews and updates.
Lead periodic compliance risk assessments and identify related testing priorities.
Requirements
Bachelor’s degree in Finance or a related field; J.D. or relevant advanced degree is a plus.
10–15+ years of progressive compliance experience at a U.S. broker‑dealer.
Seniority level Executive
Employment type Full‑time
Job function Legal
Industries Staffing and Recruiting
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.
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 a guarantee of a certain compensation package for a position or bona fide offer of employment.
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Base pay range $250,000.00/yr - $300,000.00/yr
Responsibilities
Manage the anti‑money laundering program, including policies, procedures, third‑party KYC/onboarding screening, annual independent reviews, and sanctions compliance.
Oversee the design and implementation of the firm’s personal‑account dealing platform and related 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 compliance policy governance framework and platform, including periodic reviews and updates.
Lead periodic compliance risk assessments and identify related testing priorities.
Requirements
Bachelor’s degree in Finance or a related field; J.D. or relevant advanced degree is a plus.
10–15+ years of progressive compliance experience at a U.S. broker‑dealer.
Seniority level Executive
Employment type Full‑time
Job function Legal
Industries Staffing and Recruiting
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.
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 a guarantee of a certain compensation package for a position or bona fide offer of employment.
#J-18808-Ljbffr