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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