Performance Trust Capital Partners
Business Line Compliance Officer – Senior Analyst (Fixed Income & Equities Advis
Performance Trust Capital Partners, Indiana, Pennsylvania, us, 15705
Overview
Performance Trust Capital Partners, LLC is an institutional fixed income broker/dealer headquartered in Chicago. We specialize in highly analytical, performance‑driven strategies and provide strategic advisory, mergers and acquisitions, and balance‑sheet solutions to community and middle‑market banks, credit unions, and insurance companies. Our aim is to give financial institutions the confidence to manage the lifecycle of their business, earn independence, and expand strategic alternatives through enhanced financial performance and strong regulatory standing.
The Business Line (“BL”) Compliance team is expanding. This Senior Analyst role focuses on operational and advisory support for Fixed Income and Equities Institutional Businesses. The team works in an advisory capacity, providing regulatory guidance and support to the firm’s client‑facing Business Lines – Equities & Fixed Income (“FI”) Sales, Trading, Capital Markets and Investment Banking (“IB”). Candidates should be analytical, proactive, and able to identify problems and provide solutions.
Responsibilities 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.
Participate in special project teams and help with integration/implementation of Control Room Vendor, Market Manipulation/Trading Surveillance Vendor, etc.
Develop supervisory tools such as compliance violations logs.
Assist with monitoring & tracking supervisory oversight; update BL checklists, responsibilities, and reviews as necessary.
Advisory
Support IB deal team with Reg M filings.
Manage IB/Capital Markets pipeline reports and serve as liaison for status of private side deals.
Act as 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; coordinate CAT, CAIS & ORF reporting with senior compliance officer and counterparties to resolve issues.
Conduct Fixed Income & Equities daily advisory reviews; ensure supervisory program and related controls are in place, including training new hires and completing checklists.
Interpret new rules and help the BL team apply them to business operations.
Requirements Role Requirements
General understanding of current regulatory environment, financial markets, and securities regulations.
Strong analytical aptitude and problem‑solving ability.
Excellent verbal and written communication, drafting, and proofreading skills.
Experience interfacing with client‑facing business lines and collaborating with support departments.
Detail‑oriented with ability to multitask, organize, and prioritize.
“Go‑getter” mentality and willingness to learn.
Ability to work independently and as part of a team with limited supervision.
Comfortable in a high‑pressure, fast‑paced environment.
Proactive; willing to take on challenging issues and initiate conversations and share ideas.
Consistently deliver high quality results in a timely manner.
Required Qualifications
Bachelor’s degree.
2–4 years experience in compliance/legal (broker‑dealer preferred); other financial institutions or regulator acceptable.
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.).
Eligible to work permanently in the United States without sponsorship.
Preferred Qualifications
Active Series 24 license (or ability to obtain within 120 days).
Fixed Income knowledge (corps, treasuries, munis, MBS, IR derivatives) and familiarity with TRACE reporting.
Equity markets knowledge (OTC/NASDAQ) and familiarity with CAT/CAIS reporting.
Experience with first‑line surveillance of business activities and related tools.
Experience supporting an institutional investor‑focused business or product.
Experience interpreting SEC, FINRA, MSRB rules and writing WSPs.
Experience using industry applications (Global Relay, MCO, Doctract, Bloomberg, etc.).
Benefits Health Coverage
Medical, Dental & Vision Insurance (administered through national carrier).
Prescription Drug Plans.
Pre‑tax Flexible Spending Account (Health and Dependent Care).
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 employee assistance program.
Employee recognition programs (PT Rewards and Annual Awards).
Compensation The base salary range for this position is $75,000‑$95,000, with potential for a bonus component based on pre‑defined performance factors. Compensation is commensurate with experience, education, and market conditions.
Recruitment Agencies We handle recruitment in‑house and work only occasionally with external agencies on our pre‑approved vendor list. Unsolicited agency resumes or submissions not authorized by our Talent Acquisition team will be considered direct candidate applications. Performance Trust does not assume responsibility for placement fees associated with unauthorized agency submissions.
Employment Details
Seniority level: Mid‑Senior level.
Employment type: Full‑time.
Job function: Legal.
#J-18808-Ljbffr
The Business Line (“BL”) Compliance team is expanding. This Senior Analyst role focuses on operational and advisory support for Fixed Income and Equities Institutional Businesses. The team works in an advisory capacity, providing regulatory guidance and support to the firm’s client‑facing Business Lines – Equities & Fixed Income (“FI”) Sales, Trading, Capital Markets and Investment Banking (“IB”). Candidates should be analytical, proactive, and able to identify problems and provide solutions.
Responsibilities 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.
Participate in special project teams and help with integration/implementation of Control Room Vendor, Market Manipulation/Trading Surveillance Vendor, etc.
Develop supervisory tools such as compliance violations logs.
Assist with monitoring & tracking supervisory oversight; update BL checklists, responsibilities, and reviews as necessary.
Advisory
Support IB deal team with Reg M filings.
Manage IB/Capital Markets pipeline reports and serve as liaison for status of private side deals.
Act as 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; coordinate CAT, CAIS & ORF reporting with senior compliance officer and counterparties to resolve issues.
Conduct Fixed Income & Equities daily advisory reviews; ensure supervisory program and related controls are in place, including training new hires and completing checklists.
Interpret new rules and help the BL team apply them to business operations.
Requirements Role Requirements
General understanding of current regulatory environment, financial markets, and securities regulations.
Strong analytical aptitude and problem‑solving ability.
Excellent verbal and written communication, drafting, and proofreading skills.
Experience interfacing with client‑facing business lines and collaborating with support departments.
Detail‑oriented with ability to multitask, organize, and prioritize.
“Go‑getter” mentality and willingness to learn.
Ability to work independently and as part of a team with limited supervision.
Comfortable in a high‑pressure, fast‑paced environment.
Proactive; willing to take on challenging issues and initiate conversations and share ideas.
Consistently deliver high quality results in a timely manner.
Required Qualifications
Bachelor’s degree.
2–4 years experience in compliance/legal (broker‑dealer preferred); other financial institutions or regulator acceptable.
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.).
Eligible to work permanently in the United States without sponsorship.
Preferred Qualifications
Active Series 24 license (or ability to obtain within 120 days).
Fixed Income knowledge (corps, treasuries, munis, MBS, IR derivatives) and familiarity with TRACE reporting.
Equity markets knowledge (OTC/NASDAQ) and familiarity with CAT/CAIS reporting.
Experience with first‑line surveillance of business activities and related tools.
Experience supporting an institutional investor‑focused business or product.
Experience interpreting SEC, FINRA, MSRB rules and writing WSPs.
Experience using industry applications (Global Relay, MCO, Doctract, Bloomberg, etc.).
Benefits Health Coverage
Medical, Dental & Vision Insurance (administered through national carrier).
Prescription Drug Plans.
Pre‑tax Flexible Spending Account (Health and Dependent Care).
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 employee assistance program.
Employee recognition programs (PT Rewards and Annual Awards).
Compensation The base salary range for this position is $75,000‑$95,000, with potential for a bonus component based on pre‑defined performance factors. Compensation is commensurate with experience, education, and market conditions.
Recruitment Agencies We handle recruitment in‑house and work only occasionally with external agencies on our pre‑approved vendor list. Unsolicited agency resumes or submissions not authorized by our Talent Acquisition team will be considered direct candidate applications. Performance Trust does not assume responsibility for placement fees associated with unauthorized agency submissions.
Employment Details
Seniority level: Mid‑Senior level.
Employment type: Full‑time.
Job function: Legal.
#J-18808-Ljbffr