Associate, Core Compliance

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.

Performance Trust Financial Holdings is seeking an Associate, Core Compliance professional to join our team. This role reporting to the Deputy CCO Core Compliance involves working with the Core Compliance team to manage day-to-day compliance activities, to execute compliance initiatives, and monitor regulatory adherence. The Associate role is ideal for a pro‑active and detail‑oriented compliance professional who is excited about supporting the coordination and tracking and completion of branch inspections and FINRA Rule 3120 monitoring and testing programs.

• 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   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.

• FINRA Firm Gateway and NFA Online Registration System a plus

• 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.
• 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.

• 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
• PT Retirement
• Mission‑Driven Employee Stock Ownership Plan
• Voluntary Life Insurance + Long‑Term Disability Insurance

• Discounted Fitness Memberships (Free membership…