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) Apply tot his job Apply To this Job