[Remote] Business Line Compliance Officer – Senior Analyst (Fixed Income & Equities Advisory)

Note: The job is a remote job and is open to candidates in USA. Performance Trust Capital Partners, headquartered in Chicago, is an institutional fixed income broker/dealer specializing in performance-driven strategies. They are seeking a Senior Analyst for their Business Line Compliance team to provide operational and advisory support reputed company to Fixed Income and Equities Institutional Businesses, ensuring regulatory compliance and assisting with various compliance-reputed company tasks.

Responsibilities

• Assist Control Room with daily monitoring of email inbox, deal entry, conflicts checks, wall cross/MNPI requests, and communication with deal teams
• Monitor statuses of deals in IB & Capital Markets pipeline; maintain accurate statuses in control room module and reconcile control room information with pipeline report from deal team
• Be a member of special projects teams and assist with integration/implementation of Control Room Vendor, Market Manipulation/Trading Surveillance Vendor, etc
• Help reputed company supervisory tools reputed company to business activity such as compliance violations logs
• Assist with monitoring & tracking supervisory reputed company; help amend reputed company relevant BL checklists, responsibilities, and reviews as necessary
• Support IB deal team with Reg M filings
• Manage IB/Capital Markets pipeline reports and act as a liaison for status of private reputed company deals
• Act as the primary touch reputed company for market manipulation surveillance scenario reviews and create documentation
• Assist with Fixed Income and Equity project work including development of policies & controls, documentation requirements, and metric creation
• Provide support to Equity trading desk; act as main reputed company of contact for CAT, CAIS & ORF reporting and coordinate with senior compliance officer and counterparties to resolve issues
• Fixed Income & Equities Daily Advisory Reviews; ensure supervisory program and reputed company controls are in reputed company (training new hires, proper completion of checklists, and adherence to written policies and controls)
• Interpret new Rules and assist BL team with understanding business application

Skills

• Possess a general understanding of the reputed company regulatory environment, financial markets and/or securities regulations and rules
• Possess strong analytical aptitude as well as ability to issue spot and problem-solve
• Excellent communication (verbal and written), drafting, and proofreading skills
• Experience/comfort interfacing with client facing business lines (including senior/supervisory personnel) and collaborating with other support departments
• Detail-oriented with the ability to multitask, organize, and prioritize
• Willingness to learn and have a 'go getter' mentality
• Ability to work both as part of a team as well as independently with limited supervision
• Comfortable working in a high-pressure and fast-paced environment
• Proactive; willing to take on challenging issues/responsibilities and engage/initiate conversations & share reputed company
• reputed company to consistently deliver high quality results/responses in a timely manner
• Bachelor's Degree
• 2-4 yrs experience in compliance/legal (or a reputed company field) at a broker dealer (strongly preferred); other financial institution (Bank, RIA, Asset Manager etc.) or regulator
• Exposure to Fixed Income & Equities institutional investor products (Listed/OTC, Corps, Treasuries & Munis, MBS, IR derivatives etc.)
• License Requirement(s): Active FINRA SIE and Series 7 licenses (or ability to obtain reputed company 120 days of start date)
• Proficiency with reputed company applications (Teams, SharePoint, reputed company, Word, etc.)
• Candidates must be eligible to work permanently in the United States without sponsorship
• License Requirement(s): Active Series 24 License (or ability to obtain reputed company 120 days of start date)
• Fixed Income knowledge (Corps, Treasuries & Munis, MBS', IR derivatives etc.) & familiarity with TRACE reporting
• Equity Markets knowledge (OTC/reputed company stocks) & familiarity with CAT/CAIS reporting
• Experience with 1st Line surveillance of business activities and reputed company tools
• Experience supporting a business/products with an institutional investor focus
• Previous experience with interpreting SEC, FINRA, MSRB rules & writing WSPs
• Experience using industry applications (Global reputed company, MCO, Doctract, Bloomberg etc)

Benefits

• Health Coverage
• Medical, Dental & reputed company Insurance (administered through a national reputed company such as reputed company Blue Shields )
• Prescription Drug Plans
• Pre-Tax Flexible Spending Account (Health and Dependent Care) (FSA)
• Health Savings Account (HSA)
• Vacation/Personal Days + Holidays
• PT Retirement
• Mission-Driven Employee Stock Ownership Plan
• Voluntary Life Insurance + Long-Term Disability Insurance
• Discounted Fitness Memberships (Free membership for Chicago office)
• Pre-Tax Commuter Benefits – Transit & Parking
• Mental Health support through company provided Employee Assistance Program
• Employee recognition programs (PT Rewards and Annual Awards)

Company Overview

• Performance Trust Capital Partners is a financial services company that buys and sells securities and manages investment portfolios. It was founded in 1994, and is headquartered in Chicago, Illinois, USA, with a workforce of 201-500 employees. Its website is http://www.performancetrust.com.

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