Job Description:
• Manage the review process of employee personal trading accounts including FINRA Rule 3210 letters at onboarding/offboarding of accounts.
• Assist with new hire employee onboarding, FINRA pre-hire checks and tracking.
• Assist with any follow-ups in the onboarding process involving submission of employee disclosures or any projects involving tracking or organization of data collected by Compliance.
• Assist with NFA fingerprint collection by sending via FedEx, NFA fingerprint cards to employees who are applying to be an Associated Person.
• Order study materials for employees seeking to obtain FINRA licensing.
• Knowledge of the FINRA registration process including filing of U4s, U5s, and Form BRs, or ability to acquire these skills.
• Monitor and track employee Licensing and Registration and completion of Firm and Regulatory Element Continuing Education requirements.
• Periodically notify Supervisors of employee progress.
• Monitor NFA Ethics Training due dates and notify employees to complete.
• Ability to process and review employee trade requests and disclosures including OBAs/PSTs, political contributions, gifts, brokerage accounts, and charitable contributions.
• Assist with the review of the Annual Compliance Meeting disclosures including employee work locations.
• Assist with document production for regulatory exams, inquiries, and information requests.
• Develop, implement, and maintain policies and procedures to ensure ongoing compliance with applicable rules and regulations including operating procedures, compliance manual policies and written supervisory procedures.
• Assist with the development and/or implementation of project work to modernize compliance processes.
Requirements:
• Knowledge of the regulatory framework and best practices of an institutional broker dealer (1-3 years)
• Possess a general understanding of the current regulatory environment and financial markets and/or securities regulation and rules.
• Excellent communication skills both written and verbal.
• 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.
• Flexibility and openness to assume different tasks and responsibilities within a relatively small team.
• Ability to work independently with little supervision.
• Proactive and willing to take on issues/responsibilities that require focus and determination.
• Candidates must be eligible to work permanently in the United States without sponsorship.
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)