Business Line Compliance Officer - Associate; Reviewer & Surveillance

Position: Business Line Compliance Officer - Associate (Reviewer & Surveillance)

Business Line Compliance Officer - Associate (Reviewer & Surveillance)

Remote in Approved US State

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 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 controles 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, organiz, 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. 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 Linked In, 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.

Role Requirements

• 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…