Core Compliance Officer - remote

Performance Trust

Since 1994, we have pioneered revolutionary analytics, education, and decision-making with like-minded teammates and clients to deliver outperformance. We create unimaginable futures together with game-changing insights, advice, world-class execution, and accountability to results.

Headquartered in Chicago, IL, our 370 team members are based in 11 global locations. We are a rapidly expanding broker-dealer, investment bank, investment advisor, and strategic partner for depositories, capital markets issuers and investors, and the full spectrum of institutional market participants. Today, we are the largest full-service private investment bank focused on community depositories. As a 100% employee-owned company, we align together on our core values of Integrity, Accountability, Excellence, Grit, and Love.

Description 

Performance Trust Capital Partners is seeking a 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 Core Compliance Officer role is ideal for a pro-active 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.  

 Responsibilities & Duties 

 Assist with new hire employee onboarding, FINRA pre-hire checks and tracking. 

Ability to process FINRA registration forms including U4s, U5s, and Form BRs. 

Monitor and track Licensing and Registration and completion of Firm and Regulatory Continuing Education requirements.  

Ability to process and review employee trade requests and disclosures including OBAs/PSTs, political contributions, gifts, brokerage accounts, and charitable contributions. 

Assist with document production for regulatory exams, inquiries, and information requests.  

Perform Compliance Monitoring and Testing tasks to complete our obligation under FINRA Rule 3120 to assess our compliance with internal policies and procedures. 

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 the Senior Compliance Officer in conducting the NFA annual self-exam and required NFA regulatory filings to support the firm’s swap dealer business. 

Assist with the development and/or implementation of project work to modernize compliance processes. 

Knowledge of the regulatory framework and best practices of an institutional broker dealer 

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.