Senior Analyst, Core Compliance

About Us: Headquartered in Chicago, Performance Trust Capital Partners, LLC is an institutional fixed income broker/dealer, specializing in highly analytical, performance driven strategies. Our core clients include community and middle-market banks, credit unions, and insurance companies. Our unique and customized approach to strategic advisory, mergers and acquisitions, and balance sheet solutions provides financial institutions the confidence to manage the full lifecycle of their institution, earn their independence, and expand strategic alternatives through enhanced financial performance and good regulatory standing.

About the Position:

Performance Trust Financial Holdings is seeking a Senior Analyst, Core Compliance professional to join our team. This role reporting to the Deputy CCO Core Compliance involves working with the Core Compliance team to manage day-to-day compliance activities, to execute compliance initiatives, and monitor regulatory adherence. The Senior Analyst role is ideal for a pro-active and detail-oriented compliance professional who is excited about supporting the coordination and tracking of compliance disclosures and initiatives and ensuring the timely completion of deliverables.  

Specifically, this individual will be responsible for the following:

• 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. 

We are seeking candidates with the following qualifications:

• 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.

Featured 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)

Time Off & Work-Life Benefits

• Vacation/Personal Days + Holidays
• Financial & Income Protection Benefits
• PT Retirement
• Mission-Driven Employee Stock Ownership Plan
• Voluntary Life Insurance + Long-Term Disability Insurance

Wellness & Everyday Support

• 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) 

Compensation: The base salary range for this position is $75,000-$95,000. This is an estimated range based on the circumstances at the time of posting, however, may change based on a combination of factors, including but not limited to skills, experience, education, market factors, geographical location, budget, and demand. This position is also eligible for a bonus component that would be dependent on pre-defined performance factors. All compensation determinations are based on the skills and experience required for the position and commensurate with experience of selected individuals, which may vary above and below the stated amounts. 

For Recruitment Agencies: As our recruitment is primarily handled in-house, we work only occasionally with external agencies, and only those on our existing, pre-approved vendor list. At this time, we are not reviewing or expanding that list. Unsolicited agency resumes, emails or other channels of outreach will not be reviewed. Unsolicited resumes or submissions from external agencies not authorized by our Talent Acquisition team will be considered direct candidate applications. As such, Performance Trust will not assume responsibility for any placement fees associated with these submissions.