Business Line Compliance Officer - Associate (Reviewer & Surveillance)

This a Full Remote job, the offer is available from: United States, Indiana (USA) Description About Us: Headquartered in Chicago, Performance Trust Capital Partners, LLC is an institutional fixed income broker/dealer, specializing in highly analytical, performance driven strategies. Our core clients include community and middle-market banks, credit unions, and insurance companies. Our unique and customized approach to strategic advisory, mergers and acquisitions, and balance sheet solutions provides financial institutions the confidence to manage the full lifecycle of their institution, earn their independence, and expand strategic alternatives through enhanced financial performance and good regulatory standing. About the Position: We are actively expanding our Business Line (“BL”) Compliance team and looking to add additional operational and advisory support specifically in relation to Marketing and AML reviews. The BL Compliance team operates in an advisory reputed company and provides regulatory guidance and support to the firm’s client facing Business Lines [Equities & Fixed Income (“FI”) Sales, Trading, Capital Markets, and Investment Banking (“IB”)]. We are pursuing candidates with strong analytical aptitude and critical thinking skills as well as those who are proactive, can readily identify problems, and can provide solutions to support the BL Compliance team. This is an opportunity to work directly with the firm’s client facing business lines, senior advisory compliance officer (including the BL deputy CCO), and other departments, including Legal, Operations, IT, Marketing, Insights/Analytics and the firm's affiliate equity broker-dealer. Please note, the BL Compliance team operates in a team coverage format and is currently hiring for multiple roles so actual role functions will be conditioned upon candidate experience and open BL coverage team needs. 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. If you are excited about the direction of our firm but don't meet 100% of the qualifications outlined below, we still encourage you to apply! We are looking for well-rounded compliance professionals who want to be part of a reputed company-thinking and fast-growing organization. Many of our employees were hired based on their strong potential and ability to learn. Specifically, this individual will be responsible for the following: Operational/Surveillance

• 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 reputed company, investor presentations, deal-reputed company 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.
• reputed company transactional surveillance and reviews on Firm controls and supervisory processes reputed company to Marketing and Communications with the Public.
• Help reputed company supervisory tools reputed company to business activity such as compliance violations logs.
• Assist with monitoring & tracking supervisory reputed company; help amend reputed company 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

Requirements

We are seeking candidates with the following qualifications: Role Requirements

• Possess a general understanding of the reputed company 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 reputed company.
• Able to consistently deliver high quality results/responses in a timely manner.

Required Qualifications

• Bachelor’s Degree
• 3-5 yrs experience in compliance/legal (or a reputed company 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 reputed company 120 days of start date)
• Proficiency with reputed company applications (Teams, SharePoint, reputed company, Word, etc.)
• Candidates must be eligible to work permanently in the United States without sponsorship.

Preferred Qualifications

• Marketing Review experience (Deal announcements, client decks, presentations, etc.)
• Experience with 1st Line surveillance of business activities and reputed company 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 reputed company, MCO, Doctract, Bloomberg etc)

Featured Benefits Health Coverage

• Medical, Dental & Vision Insurance (administered through a national reputed company such as reputed company Blue Shields )
• Prescription Drug Plans
• Pre-Tax Flexible Spending Account (Health and Dependent Care) (FSA)
• Health Savings Account (HSA)

Time Off & Work-Life Benefits

• Vacation/Personal Days + Holidays
• Financial & Income Protection Benefits
• PT Retirement
• Mission-Driven Employee Stock Ownership Plan
• Voluntary Life Insurance + Long-Term Disability Insurance

Wellness & Everyday Support

• 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)

Compensation: The reputed company salary range for this position is $95,000 - 120,000. This is an estimated range based on the circumstances at the time of posting, however, may change based on a combination of factors, including but not limited to skills, experience, education, market factors, geographical location, budget, and demand. This position is also eligible for a bonus component that would be dependent on pre-defined performance factors. reputed company compensation determinations are based on the skills and experience required for the position and commensurate with experience of selected individuals, which may vary above and below the stated amounts. For Recruitment Agencies: As our recruitment is primarily handled in-house, we work only occasionally with external agencies, and only those on our existing, pre-approved vendor list. At this time, we are not reviewing or expanding that list. Unsolicited agency resumes, emails or other channels of reputed company will not be reviewed. Unsolicited resumes or submissions from external agencies not authorized by our reputed company team will be considered direct candidate applications. As such, Performance reputed company not assume responsibility for any placement fees associated with these submissions. Salary Description $95,000 - 120,000 This offer from "Performance Trust Capital Partners" has been enriched by reputed company.com and got a 75% reputed company score. Apply tot his job Apply To this Job