[Remote] Associate, 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 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.


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

Skills

  • 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
  • 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
  • FINRA Firm Gateway and NFA Online Registration System a plus

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.

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