Trade Control Compliance Associate

Join to apply for the Trade Control Associate – Senior Level Opportunity role at White Cap Search

This role is part of a high‑performing hybrid team offering one day of remote work. Compensation is based on skill and experience – discuss details with your recruiter.

$55.00/hr – $80.00/hr

• 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 firm‑wide 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.

• 2–3+ years of control room, compliance or trade support coming from a buy‑side firm.
• Proficiency in Bloomberg required.
• Corporate Structures, Deal Pipeline and MNPI control room experience required.
• Experience with maintaining and administering restricted lists required.

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.

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