[Remote] Business Line Compliance Officer - Associate (Advisory)
Note: The job is a remote job and is open to candidates in USA. Performance Trust Capital Partners is an investment bank headquartered in Chicago that focuses on long-term impact and relationships built on trust. They are expanding their Business Line Compliance team and seeking an Associate to provide operational and advisory support in Investment Banking, Capital Markets, and Fixed Income Sales & Trading.
Responsibilities
- Support the Firm’s various businesses in a front-line compliance advisory role
- Assist with project development and integration/implementations
- Assist with Compliance Marketing surveillance and reviews including LinkedIn, investor presentations, deal-related materials and client education presentations
- Help develop supervisory tools related to business activity
- Assist with monitoring & tracking supervisory oversight; help amend all relevant BL checklists, responsibilities, and reviews as necessary
- Assist with AML sanction screening and transaction monitoring
Skills
- Bachelor's Degree
- 3-5 yrs experience in compliance/legal at a broker dealer or similar financial institution
- Fixed Income & Equities institutional investor products exposure
- Active FINRA SIE and Series 7 licenses; Active Series 24 License (or ability to obtain S24 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
- Possess an understanding of the current regulatory environment, financial markets and securities regulations
- Significant product knowledge of fixed income and equity securities
- Excellent communication skills (verbal and written)
- Possess strong analytical and critical thinking skills while exercising good judgement
- Experience interfacing with client facing business lines and collaborating with other support departments
- Detail-oriented with the ability to multitask, organize, and prioritize
- 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
- Possess a willingness to take on challenging issues and comfortable engaging with both senior and junior firm personnel
- Able to consistently deliver high quality results/responses in a timely manner
- Experience with first-line advisory of sales, trading, and capital markets activities
- Marketing review experience at an institutional broker-dealer
- Experience supporting a business/products with an institutional investor focus
- Previous experience with interpreting SEC, FINRA, MSRB, NFA rules & writing WSPs
- Experience using industry applications (Global Relay, MCO, Doctract, LexisNexis, Bloomberg etc)
Benefits
- 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
- Financial & Income Protection Benefits
- 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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