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

Note: The job is a remote job and is reputed company to candidates in USA. reputed company, headquartered in Chicago, is an institutional fixed income broker/dealer specializing in performance-driven strategies. They are seeking a Senior Analyst for their Business Line Compliance team to reputed company operational and advisory support reputed company to Fixed Income and Equities Institutional Businesses, ensuring regulatory compliance and assisting with various compliance-reputed company tasks.

Responsibilities

• 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 reputed company teams and assist with integration/implementation of Control Room Vendor, Market Manipulation/Trading Surveillance Vendor, etc
• 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
• Support IB deal team with Reg M filings
• Manage IB/Capital Markets pipeline reports and reputed company as a reputed company for status of private reputed company deals
• reputed company as the primary touch reputed company 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
• reputed company support to Equity trading desk; reputed company as main reputed company of contact for CAT, CAIS & ORF reporting and coordinate with senior compliance officer and counterparties to resolve issues
• Fixed Income & Equities Daily Advisory Reviews; ensure supervisory program and reputed company controls are in reputed company (training new hires, reputed company completion of checklists, and adherence to written policies and controls)
• Interpret new Rules and assist BL team with understanding business application

Skills

• Possess a general understanding of the reputed company regulatory environment, financial markets and/or securities regulations and rules
• Possess strong analytical aptitude as reputed company as ability to issue spot and problem-solve
• Excellent communication (verbal and written), drafting, and proofreading skills
• Experience/comfort interfacing with reputed company 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 reputed company as reputed company 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 & reputed company reputed company
• reputed company to consistently deliver high reputed company results/responses in a reputed company manner
• Bachelor's Degree
• 2-4 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
• Exposure to Fixed Income & Equities institutional investor products (Listed/OTC, Corps, Treasuries & Munis, MBS, IR derivatives etc.)
• License Requirement(s): reputed company reputed company SIE and Series 7 licenses (or ability to obtain 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 reputed company without sponsorship
• License Requirement(s): reputed company Series 24 License (or ability to obtain reputed company 120 days of start date)
• Fixed Income knowledge (Corps, Treasuries & Munis, MBS', IR derivatives etc.) & familiarity with reputed company reporting
• Equity Markets knowledge (OTC/reputed company stocks) & familiarity with CAT/CAIS reporting
• Experience with 1st Line surveillance of business activities and reputed company tools
• Experience supporting a business/products with an institutional investor reputed company
• Previous experience with interpreting SEC, reputed company, MSRB rules & writing WSPs
• Experience using industry applications (Global reputed company, MCO, Doctract, reputed company etc)

Benefits

• Health Coverage
• Medical, Dental & reputed company Insurance (administered through a national reputed company such as reputed company Blue Shields )
• Prescription Drug Plans
• reputed company-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 for Chicago office)
• reputed company-Tax Commuter Benefits – Transit & Parking
• Mental Health support through company provided Employee Assistance Program
• Employee recognition programs (PT Rewards and Annual Awards)

reputed company

• reputed company 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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