Senior Business Line Compliance Officer – Analyst, Fixed Income & Equities Advisory
Job Description:
• 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 counterparties to resolve issues.
• Ensure supervisory program and related controls are in place (training new hires, proper completion of checklists, and adherence to written policies and controls).
• Interpret new Rules and assist BL team with understanding business application.
Requirements:
• Possess a general understanding of the current regulatory environment, financial markets and/or securities regulations and rules.
• Possess strong analytical aptitude as well as ability to issue spot and problem-solve.
• Excellent communication (verbal and written), drafting, and proofreading skills.
• Experience/comfort interfacing with client 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 a team as well 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 & share ideas.
• Able to consistently deliver high quality results/responses in a timely manner.
• Bachelor’s Degree
• 2-4 yrs experience in compliance/legal (or a related 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.)
• Active FINRA SIE and Series 7 licenses (or ability to obtain within 120 days of start date)
• Proficiency with Microsoft applications (Teams, SharePoint, Excel, Word, etc.)
Benefits:
• Health Coverage
• Medical, Dental & Vision Insurance (administered through a national carrier such as Blue Cross Blue Shields)
• Prescription Drug Plans
• Pre-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)
• Pre-Tax Commuter Benefits – Transit & Parking
• Mental Health support through company provided Employee Assistance Program
• Employee recognition programs (PT Rewards and Annual Awards)
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• 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 counterparties to resolve issues.
• Ensure supervisory program and related controls are in place (training new hires, proper completion of checklists, and adherence to written policies and controls).
• Interpret new Rules and assist BL team with understanding business application.
Requirements:
• Possess a general understanding of the current regulatory environment, financial markets and/or securities regulations and rules.
• Possess strong analytical aptitude as well as ability to issue spot and problem-solve.
• Excellent communication (verbal and written), drafting, and proofreading skills.
• Experience/comfort interfacing with client 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 a team as well 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 & share ideas.
• Able to consistently deliver high quality results/responses in a timely manner.
• Bachelor’s Degree
• 2-4 yrs experience in compliance/legal (or a related 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.)
• Active FINRA SIE and Series 7 licenses (or ability to obtain within 120 days of start date)
• Proficiency with Microsoft applications (Teams, SharePoint, Excel, Word, etc.)
Benefits:
• Health Coverage
• Medical, Dental & Vision Insurance (administered through a national carrier such as Blue Cross Blue Shields)
• Prescription Drug Plans
• Pre-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)
• Pre-Tax Commuter Benefits – Transit & Parking
• Mental Health support through company provided Employee Assistance Program
• Employee recognition programs (PT Rewards and Annual Awards)
Apply tot his job
Apply To this Job