Business Line Compliance Officer – Senior Analyst; Fixed Income & Equities Advisory

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Business Line Compliance Officer – Senior Analyst (Fixed Income & Equities Advisory)

Business Line Compliance Officer – Senior Analyst (Fixed Income & Equities Advisory)
Remote in Approved US State

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 Fixed Income and Equities Institutional Businesses. The BL Compliance team operates in an advisory capacity 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 officers (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 forward-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:

• Assist Control Room with daily monitoring of email inbox, deal entry, conflicts checks, wall cross/MNPI requests, and communication with deal teams.
• Monitor statuses of deals in IB & Capital Markets pipeline; maintain accurate statuses in control room module and reconcile control room information with pipeline report from deal team.
• Be a member of special projects teams and assist with integration/implementation of Control Room Vendor, Market Manipulation/Trading Surveillance Vendor, etc.
• 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.
• Support IB deal team with Reg M filings.
• Manage IB/Capital Markets pipeline reports and act as a liaison for status of private side deals.
• Act as the primary touch point for market manipulation surveillance scenario reviews and create documentation.
• Assist with Fixed Income and Equity project work including development of policies & controls, documentation requirements, and metric creation.
• Provide support to Equity trading desk; act as main point of contact for CAT, CAIS & ORF reporting and coordinate with senior compliance officer and counter parties to resolve issues.
• Fixed Income & Equities Daily Advisory Reviews; ensure supervisory program and related controls are in place (training new hires, proper completion of checklists, and adherence to written policies and controls).
• Interpr…