WhiteCap
via Indeed
Compliance Analyst - Investment Bank
Compensation
$Not specified
Responsibilities
Assist with compliance testing, communication archiving, onboarding, off-boarding, and regulatory reporting.
Requirements
Experience in compliance, data management, and regulatory processes, with strong attention to detail.
Full Description
Job Function: • Monitor electronic communications, conduct compliance testing and reviews, and maintain the firm’s e-communication archiving and surveillance system. • Assist with new hire onboarding and leaver off-boarding processes within Compliance. • Respond to compliance approvals and disclosure requests. • Process new hire and leaver information and perform data integrity reviews in the Compliance system. • Support regulatory and firm-element training preparation, audits, regulatory exams, and investigations. • Assist with reporting, drafting, and maintaining policies, procedures, and operating standards. • Contribute to other projects and initiatives as requested by the Compliance team, including ad-hoc assignments.
This job posting was last updated on 1/9/2026
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