United States onlyDescription
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, tracking of compliance initiatives, and ensuring the timely completion of deliverables.
Key Responsibilities
- Collaborate with the Deputy CCO and Senior Compliance Officer to execute a Compliance Monitoring and Testing program to support the Company’s compliance with all applicable regulations across the Company’s US Broker Dealer platform pursuant to FINRA Rule 3120 (“Supervisory Control System”).
- As it pertains to the Company’s Compliance Monitoring and Testing program, assist with the development of the compliance business plan, structure, and strategy for the team; create processes and recommend business controls to ensure compliance with applicable regulations.
- Conduct monitoring and testing to identify the effectiveness of internal controls.
- Compile and track results of the testing program to provide input to the annual report to management.
- Assist Senior Compliance Officer with the preparation and reviews of branch offices including OSJs, Branch offices and non-branch locations.
- As it pertains to testing and branch reviews, identify potential issues and assist in tracking the issues to ensure corrective action plans are implemented and remediated.
- Draft reports to document branch examinations.
- Ability to analyze internal controls, draft new compliance manual policies and written supervisory procedures when gaps are identified and/or regulations warrant updates.
- Assist with document requests for regulatory inquiries and regulatory examinations and assist with written responses.
- Ability to process registration forms (U4s, U5s, Form BRs) through the FINRA Gateway and prepare NFA registration forms is a plus.
- Stay abreast of evolving regulatory requirements and business developments to maintain a strong understanding of the current regulatory framework.
Requirements
- Knowledge of the regulatory framework and best practices of an institutional broker dealer?(5-7 years).
- Possess an understanding of the current regulatory environment and financial markets and/or securities regulation and rules.?
- 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.
- Excellent communication skills both written and verbal.?
- Ability to work independently with little supervision.?
- Proactive and willing to take on issues/responsibilities that require focus and determination.
- FINRA SIE and Series 7 (or ability to obtain within 120 days of start date) required.
