Performance Trust Capital Partners · 3 days ago
Business Line Compliance Officer – Senior Analyst (Fixed Income & Equities Advisory)
United States
Full-time
Remote
Mid, Senior Level
$75K/yr - $95K/yr
2+ years expPerformance 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.
Career PlanningFinanceFinancial Services
No H1B
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
Qualification
Required
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
Preferred
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
Performance Trust Capital Partners
Performance Trust Capital Partners is a financial services company that buys and sells securities and manages investment portfolios.
201-500 employees
Funding
Current Stage
Growth StageTotal Funding
$112M2024-12-31Debt Financing· $80M
2020-12-21Debt Financing· $17M
2019-07-01Series Unknown· $15M
Leadership Team
Dave Salutric
Head of Client Insights & Analytics
Kristin Love
Director
Recent News
2025-12-17
Company data provided by crunchbase