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Performance Trust Capital Partners · 5 days ago

Business Line Compliance Officer - Associate (Reviewer & Surveillance)

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. They are seeking a Business Line Compliance Officer to provide operational and advisory support in relation to Marketing and AML reviews, working closely with various business lines and departments to ensure compliance with regulatory standards.

Career PlanningFinanceFinancial Services

No H1B

Responsibilities

Complete electronic communications reviews and assist with developing targeted reviews

Be a member of special projects teams and assist with integrations/implementations

Assist with Compliance Marketing surveillance and reviews including LinkedIn, investor presentations, deal-related material and client education presentations

Review and sign off on marketing, sales practice, and client educational content of the firm in partnership with the Marketing and Sales practice areas of the firm

Provide timely review of sales practice and marketing materials, including print, digital, and video materials, in accordance with FINRA guidelines

Review social media posts in accordance with FINRA guidelines and help manage the social media program

Perform transactional surveillance and reviews on Firm controls and supervisory processes related to Marketing and Communications with the Public

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

Assist with AML sanction screening and transaction monitoring

Be a member of special projects teams and assist with the build out of the Compliance Marketing and AML programs

Qualification

Compliance experienceFINRA regulations knowledgeAnalytical skillsCommunication skillsMicrosoft applications proficiencyMarketing review experienceSecurities regulations knowledgeProactive attitudeMultitaskingDetail-orientedTeamwork

Required

Possess a general understanding of the current regulatory environment, financial markets and/or securities regulations and rules

Excellent communication (verbal and written), drafting, and proofreading skills

Possess strong analytical and critical thinking skills while exercising good judgement

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

3-5 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

Fixed Income & Equities institutional investor products exposure (Listed/OTC, Corps, Treasuries & Munis, MBS, IR derivatives etc.)

License Requirement(s): 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