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Performance Trust Capital Partners · 2 days ago

Associate, Core Compliance

United States

Full-time

Remote

Mid Level

$95K/yr - $120K/yr

3+ years exp

Performance Trust Capital Partners is an institutional fixed income broker/dealer based in Chicago, seeking an Associate, Core Compliance professional to join their team. The role involves managing day-to-day compliance activities, executing compliance initiatives, and monitoring regulatory adherence, while supporting branch inspections and compliance processes.

Career PlanningFinanceFinancial Services

No H1B

Responsibilities

Prior experience in performing Branch Inspections pursuant to FINRA Rule 3110(c), MSRB Rule G-27 and NFA branch inspections (NFA Compliance Rule 2-9) is a plus

Experience performing monitoring and testing Written Supervisory Procedures pursuant to FINRA Rule 3120

Knowledge of FINRA Remote Inspection Pilot Program

Knowledge of and appropriate application of FINRA Residential Supervisory Location designation

Knowledge of registrations requirements for individuals and registration requirements in connection with creating FINRA Branches and associated FINRA U4 and Form BR filings in FINRA Firm Gateway. Knowledge of NFA ORS is a plus

Knowledge of Outside Business Activities (“OBAs”), Private Securities Transactions (“PST”), Personal Brokerage Accounts, Gifts and Entertainment

Detail-oriented with ability to multitask, organize and prioritize

Experience/comfort interfacing with client facing business lines (including senior/supervisory personnel) and collaborating with other support departments

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

Qualification

Branch InspectionsFINRA Rule 3120Compliance PoliciesFINRA Firm GatewayNFA Online RegistrationProactiveMultitaskCommunicationDetail-oriented

Required

Prior experience in performing Branch Inspections pursuant to FINRA Rule 3110(c), MSRB Rule G-27 and NFA branch inspections (NFA Compliance Rule 2-9) is a plus

Experience performing monitoring and testing Written Supervisory Procedures pursuant to FINRA Rule 3120

Knowledge of FINRA Remote Inspection Pilot Program

Knowledge of and appropriate application of FINRA Residential Supervisory Location designation

Knowledge of Outside Business Activities (“OBAs”), Private Securities Transactions (“PST”), Personal Brokerage Accounts, Gifts and Entertainment

Detail-oriented with ability to multitask, organize and prioritize

Experience/comfort interfacing with client facing business lines (including senior/supervisory personnel) and collaborating with other support departments

Assist with document production for regulatory exams, inquiries, and information requests

Assist with the development and/or implementation of project work to modernize compliance processes

Knowledge of the regulatory framework and best practices of an institutional broker dealer (3-5 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