[Remote] Senior Analyst, Core Compliance

Note: The job is a remote job and is open to candidates in USA. Performance Trust Capital Partners is an institutional fixed income broker/dealer headquartered in Chicago, specializing in analytical and performance-driven strategies. They are seeking a Senior Analyst, Core Compliance to manage compliance activities, execute initiatives, and monitor regulatory adherence.

Responsibilities

• Manage the review process of employee personal trading accounts including FINRA Rule 3210 letters at onboarding/offboarding of accounts
• Assist with new hire employee onboarding, FINRA pre-hire checks and tracking
• Assist with any follow-ups in the onboarding process involving submission of employee disclosures or any projects involving tracking or organization of data collected by Compliance
• Assist with NFA fingerprint collection by sending via FedEx, NFA fingerprint cards to employees who are applying to be an Associated Person
• Order study materials for employees seeking to obtain FINRA licensing
• Knowledge of the FINRA registration process including filing of U4s, U5s, and Form BRs, or ability to acquire these skills
• Monitor and track employee Licensing and Registration and completion of Firm and Regulatory Element Continuing Education requirements. Periodically notify Supervisors of employee progress
• Monitor NFA Ethics Training due dates and notify employees to complete
• Ability to process and review employee trade requests and disclosures including OBAs/PSTs, political contributions, gifts, brokerage accounts, and charitable contributions
• Assist with the review of the Annual Compliance Meeting disclosures including employee work locations
• Assist with document production for regulatory exams, inquiries, and information requests
• Develop, implement, and maintain policies and procedures to ensure ongoing compliance with applicable rules and regulations including operating procedures, compliance manual policies and written supervisory procedures
• Assist with the development and/or implementation of project work to modernize compliance processes

Skills

• Knowledge of the regulatory framework and best practices of an institutional broker dealer (1-3 years)
• Possess a general understanding of the current regulatory environment and financial markets and/or securities regulation and rules
• Excellent communication skills both written and verbal
• Detail-oriented, organized, individual able to work in a fast-paced environment and able to multi-task and solve complex problems in a collaborative manner
• Flexibility and openness to assume different tasks and responsibilities within a relatively small team
• Ability to work independently with little supervision
• Proactive and willing to take on issues/responsibilities that require focus and determination
• Candidates must be eligible to work permanently in the United States without sponsorship
• This role is open to remote candidates residing in the following states: AZ, CA, CT, FL, GA, HI, IL, IN, MA, MD, MI, MN, MO, MS, NC, ND, NJ, NV, NY, OH, PA, PR, SC, SD, TN, TX, UT, VA, WA, WI

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.

Apply tot his job Apply To this Job