Business Line Compliance Officer - Remote

Overview

Performance Trust Capital Partners is seeking a VP for our Business Line Compliance team. We are pursuing candidates with strong analytical aptitude as well as ability to issue spot and problem-solve to support the Business Line Compliance team, which provides regulatory guidance and support to the firm’s client facing Business Lines (Equities & FI Sales, Trading, Capital Markets, and Investment Banking).

In Short

• Align with the Business Line Compliance Deputy and/or senior FI & Equities Compliance Officers to ensure implementation and daily oversight of the sales practice components of the Firm’s compliance program across Equities and Fixed Income business lines.
• Advise business areas on firm policies and procedures and applicable securities laws and regulations.
• Provide advice on regulatory and compliance requirements to business unit management and staff.
• Act as a strategic partner to business management and other departments.
• Support the development, implementation, maintenance, and continuous enhancement of compliance programs.
• Provide daily advisory support for covered business lines.
• Ensure that sales, trading, and/or investment banking activity is aligned with regulatory requirements.
• Monitor and/or oversee review of Equities/FI sales and trading activity.
• Lead and/or participate in project work focused on compliance processes.
• Assist CCO and Deputy CCO with regulatory exams and inquiries.

Requirements

• Well versed in regulations, industry standards, and best practices.
• Strong understanding of equities/fixed income securities and institutional clients.
• Excellent communication, drafting, and proofreading skills.
• Strong analytical aptitude and problem-solving skills.
• Detail-oriented with ability to multitask and prioritize.
• Ability to work as a member of a team in a high-pressure environment.
• Proactive and willing to take on responsibilities.
• Able to work independently with limited supervision.

Benefits

• Competitive salary.
• Opportunity to work with senior management.
• Engagement in compliance and regulatory processes.
• Supportive team environment.
• Professional development opportunities.