[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 related to Fixed Income and Equities Institutional Businesses, ensuring regulatory compliance and assisting with various compliance-related 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 develop supervisory tools related to business activity such as compliance violations logs
• Assist with monitoring & tracking supervisory oversight; help amend all 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 side deals
• Act as the primary touch point 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 point 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 related controls are in place (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 current 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 ideas
• Able to consistently deliver high quality results/responses in a timely manner
• Bachelor's Degree
• 2-4 yrs experience in compliance/legal (or a related 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 within 120 days of start date)
• Proficiency with Microsoft applications (Teams, SharePoint, Excel, 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 within 120 days of start date)
• Fixed Income knowledge (Corps, Treasuries & Munis, MBS', IR derivatives etc.) & familiarity with TRACE reporting
• Equity Markets knowledge (OTC/NASDAQ stocks) & familiarity with CAT/CAIS reporting
• Experience with 1st Line surveillance of business activities and related 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 Relay, MCO, Doctract, Bloomberg etc)

Benefits

• Health Coverage
• Medical, Dental & Vision Insurance (administered through a national carrier such as Blue Cross 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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