[Remote] Senior Analyst, Core Compliance

Note: The job is a remote job and is open to candidates in USA. Performance Trust Capital Partners is an institutional fixed income broker/dealer headquartered in Chicago, specializing in analytical and performance-driven strategies. They are seeking a Senior Analyst, Core Compliance to manage compliance activities, execute initiatives, and monitor regulatory adherence. Responsibilities • Manage the review process of employee personal trading accounts including FINRA Rule 3210 letters at onboarding/offboarding of accounts • Assist with new hire employee onboarding, FINRA pre-hire checks and tracking • Assist with any follow-ups in the onboarding process involving submission of employee disclosures or any projects involving tracking or organization of data collected by Compliance • Assist with NFA fingerprint collection by sending via FedEx, NFA fingerprint cards to employees who are applying to be an Associated Person • Order study materials for employees seeking to obtain FINRA licensing • Knowledge of the FINRA registration process including filing of U4s, U5s, and Form BRs, or ability to acquire these skills • Monitor and track employee Licensing and Registration and completion of Firm and Regulatory Element Continuing Education requirements. Periodically notify Supervisors of employee progress • 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 • Develop, implement, and maintain policies and procedures to ensure ongoing compliance with applicable rules and regulations including operating procedures, compliance manual policies and written supervisory procedures • Assist with the development and/or implementation of project work to modernize compliance processes Skills • Knowledge of the regulatory framework and best practices of an institutional broker dealer (1-3 years) • Possess a general understanding of the current regulatory environment and financial markets and/or securities regulation and rules • Excellent communication skills both written and verbal • Detail-oriented, organized, individual able to work in a fast-paced environment and able to multi-task and solve complex problems in a collaborative manner • Flexibility and openness to assume different tasks and responsibilities within a relatively small team • Ability to work independently with little supervision • Proactive and willing to take on issues/responsibilities that require focus and determination • Candidates must be eligible to work permanently in the United States without sponsorship • 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, TN, TX, UT, VA, WA, WI Benefits • 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 • 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) • Pre-Tax Commuter Benefits – Transit & Parking • Mental Health support through company provided Employee Assistance Program • Employee recognition programs (PT Rewards and Annual Awards) Company Overview • Performance Trust Capital Partners 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. Apply tot his job Apply To this Job