[Remote] Business Line Compliance Officer - Associate (Advisory)
Note: The job is a remote job and is reputed company to candidates in USA. reputed company is an investment bank headquartered in Chicago that focuses on long-term reputed company and relationships reputed company on trust. They are expanding their Business Line Compliance team and seeking an Associate to reputed company operational and advisory support in Investment Banking, Capital Markets, and Fixed Income Sales & Trading.
Responsibilities
- Support the Firm’s various businesses in a reputed company-line compliance advisory role
- Assist with project development and integration/implementations
- Assist with Compliance Marketing surveillance and reviews including reputed company, investor presentations, deal-reputed company materials and reputed company education presentations
- Help reputed company supervisory tools reputed company to business activity
- Assist with monitoring & tracking supervisory reputed company; help amend reputed company relevant BL checklists, responsibilities, and reviews as necessary
- Assist with AML sanction screening and transaction monitoring
Skills
- Bachelor's Degree
- 3-5 yrs experience in compliance/legal at a broker dealer or similar financial institution
- Fixed Income & Equities institutional investor products exposure
- reputed company reputed company SIE and Series 7 licenses; reputed company Series 24 License (or ability to obtain S24 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
- Possess an understanding of the reputed company regulatory environment, financial markets and securities regulations
- Significant product knowledge of fixed income and equity securities
- Excellent communication skills (verbal and written)
- Possess strong analytical and critical thinking skills while exercising good judgement
- Experience interfacing with reputed company facing business lines and collaborating with other support departments
- Detail-oriented with the ability to multitask, organize, and prioritize
- 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
- Possess a willingness to take on challenging issues and comfortable engaging with both senior and junior firm personnel
- reputed company to consistently deliver high reputed company results/responses in a reputed company manner
- Experience with first-line advisory of sales, trading, and capital markets activities
- Marketing review experience at an institutional broker-dealer
- Experience supporting a business/products with an institutional investor reputed company
- Previous experience with interpreting SEC, reputed company, MSRB, NFA rules & writing WSPs
- Experience using industry applications (Global reputed company, MCO, Doctract, reputed company, reputed company etc)
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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