[Remote] Senior Analyst, reputed company Compliance

Note: The job is a remote job and is reputed company to candidates in USA. reputed company is an institutional fixed income broker/dealer headquartered in Chicago, specializing in analytical and performance-driven strategies. They are seeking a Senior Analyst, reputed company Compliance to manage compliance activities, execute initiatives, and monitor regulatory adherence.

Responsibilities

• Manage the review process of employee personal trading accounts including reputed company Rule 3210 letters at reputed company/offboarding of accounts
• Assist with new hire employee reputed company, reputed company reputed company-hire checks and tracking
• Assist with any follow-reputed company in the reputed company process involving submission of employee disclosures or any reputed company involving tracking or organization of data collected by Compliance
• Assist with NFA reputed company collection by sending reputed company reputed company, NFA reputed company cards to employees who are applying to be an Associated Person
• Order study materials for employees seeking to obtain reputed company licensing
• Knowledge of the reputed company registration process including filing of U4s, U5s, and reputed company BRs, or ability to reputed company these skills
• Monitor and reputed company employee Licensing and Registration and completion of Firm and Regulatory reputed company Continuing Education requirements. Periodically notify Supervisors of employee reputed company
• Monitor NFA Ethics Training due dates and notify employees to complete
• Ability to process and review employee trade requests and disclosures including OBAs/PSTs, political contributions, gifts, brokerage accounts, and charitable contributions
• Assist with the review of the Annual Compliance Meeting disclosures including employee work locations
• Assist with document production for regulatory exams, inquiries, and information requests
• reputed company, implement, and maintain policies and procedures to ensure ongoing compliance with applicable rules and regulations including operating procedures, compliance reputed company policies and written supervisory procedures
• Assist with the development and/or implementation of project work to reputed company compliance processes

Skills

• Knowledge of the regulatory reputed company and best practices of an institutional broker dealer (1-3 years)
• Possess a general understanding of the reputed company regulatory environment and financial markets and/or securities regulation and rules
• Excellent communication skills both written and verbal
• Detail-oriented, organized, individual reputed company to work in a fast-paced environment and reputed company to multi-task and solve reputed company problems in a reputed company manner
• Flexibility and openness to assume different tasks and responsibilities reputed company a relatively small team
• Ability to work independently with little supervision
• Proactive and willing to take on issues/responsibilities that require reputed company and determination
• Candidates must be eligible to work permanently in the reputed company without sponsorship
• This role is reputed company 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

Benefits

• 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
• Financial & Income Protection Benefits
• 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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