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: We are actively expanding our Business Line (“BL”) Compliance team and looking to add additional operational and advisory support specifically in relation to Fixed Income and Equities Institutional Businesses. The BL Compliance team operates in an advisory capacity and provides regulatory guidance and support to the firm’s client facing Business Lines [Equities & Fixed Income (“FI”) Sales, Trading, Capital Markets, and Investment Banking (“IB”)]. We are pursuing candidates with strong analytical aptitude and critical thinking skills as well as those who are proactive, can readily identify problems, and can provide solutions to support the BL Compliance team. This is an opportunity to work directly with the firm’s client facing business lines, senior advisory compliance officers (including the BL deputy CCO), and other departments, including Legal, Operations, IT, Marketing, Insights/Analytics and the firm's affiliate equity broker-dealer.  

Please note, the BL Compliance team operates in a team coverage format and is currently hiring for multiple roles so actual role functions will be conditioned upon candidate experience and open BL coverage team needs. 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.

If you are excited about the direction of our firm but don't meet 100% of the qualifications outlined below, we still encourage you to apply! We are looking for well-rounded compliance professionals who want to be part of a forward-thinking and fast-growing organization. Many of our employees were hired based on their strong potential and ability to learn. 

Specifically, this individual will be responsible for the following:

Operational/Surveillance 

• 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.

Advisory 

• 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.
• Fixed Income & Equities Daily Advisory Reviews; 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.

We are seeking candidates with the following qualifications:

Role 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.

Required Qualifications

• 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.)
• License Requirement(s): 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.)
• Candidates must be eligible to work permanently in the United States without sponsorship.

Preferred Qualifications

• License Requirement(s): Active Series 24 License (or ability to obtain within 120 days of start date)
• Fixed Income knowledge (Corps, Treasuries & Munis, MBS’, IR derivatives etc.) & familiarity with TRACE reporting
• Equity Markets knowledge (OTC/NASDAQ stocks) & familiarity with CAT/CAIS reporting
• Experience with 1st Line surveillance of business activities and related tools 
• Experience supporting a business/products with an institutional investor focus
• Previous experience with interpreting SEC, FINRA, MSRB rules & writing WSPs
• Experience using industry applications (Global Relay, MCO, Doctract, Bloomberg etc) 

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.