Business Line Compliance Officer
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 expanding our Business Line ("BL") Compliance team and adding advisory support for our Investment Banking and Capital Markets businesses. The BL Compliance team provides regulatory guidance and support to the firm’s client-facing businesses.
We are seeking candidates with first-line advisory experience, an in-depth understanding of financial markets, and significant securities product knowledge. Successful candidates will demonstrate strong analytical and critical thinking skills and the ability to work independently. This is an opportunity to work directly with the firm’s client-facing business lines, senior advisory compliance team members, and senior management.
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.
Specifically, this individual will be responsible for the following:
- Provide daily front-line compliance advisory support to the Firm’s Investment Banking and Capital Markets businesses.
- Advise on firm policies and procedures and applicable securities laws and regulations for covered business lines (and provide back-up support for others).
- Develop policies and controls to align, supervise, and monitor Capital Markets and Investment Banking activity with regulatory requirements and industry best practices.
- Oversee implementation and daily execution of sales-practice components of the Firm’s compliance program across Equities and Fixed Income for private-side activities.
- Lead and/or participate as the private-side SME for projects to build processes and controls to comply with transactional rules and regulations, including remediations.
- Support the Compliance Marketing Officer with marketing reviews and advise on LinkedIn posts, investor presentations, deal materials, and client education content for supported business lines.
- Partner with business management and other departments to support existing processes and develop new processes that address business risk and regulatory requirements.
- Support the development, implementation, maintenance, and enhancement of programs that provide compliance risk management and supervisory oversight for private-side business lines.
- Develop supervisory tools related to business activity; assist with monitoring and tracking supervisory oversight; and update BL checklists, responsibilities, and reviews as needed.
- Partner with the Control Room to ensure transparency and visibility into Private Side activities. This alignment will strengthen oversight and support the effective management of Private Side obligations across the organization.