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Performance Trust Capital Partners · 1 day ago

Senior Analyst, Core Compliance

United States

Part-time

Remote

Mid, Senior Level

$75K/yr - $95K/yr

1+ years exp

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.

Career PlanningFinanceFinancial Services

No H1B

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

Qualification

Regulatory framework knowledgeFINRA registration processCompliance policies developmentCommunication skillsDetail-oriented

Required

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