Business Line Compliance Officer – Associate, Reviewer, Surveillance

Job Description: • Complete electronic communications reviews and assist with developing targeted reviews. • Be a member of special projects teams and assist with integrations/implementations. • Assist with Compliance Marketing surveillance and reviews including LinkedIn, investor presentations, deal-related material and client education presentations. • Review and sign off on marketing, sales practice, and client educational content of the firm in partnership with the Marketing and Sales practice areas of the firm. • Provide timely review of sales practice and marketing materials, including print, digital, and video materials, in accordance with FINRA guidelines. • Review social media posts in accordance with FINRA guidelines and help manage the social media program. • Perform transactional surveillance and reviews on Firm controls and supervisory processes related to Marketing and Communications with the Public. • Help develop supervisory tools related to business activity such as compliance violations logs. • Assist with monitoring & tracking supervisory oversight; help amend all relevant BL checklists, responsibilities, and reviews as necessary. • Assist with AML sanction screening and transaction monitoring. • Be a member of special projects teams and assist with the build out of the Compliance Marketing and AML programs. Requirements: • Possess a general understanding of the current regulatory environment, financial markets and/or securities regulations and rules. • Excellent communication (verbal and written), drafting, and proofreading skills. • Possess strong analytical and critical thinking skills while exercising good judgement. • Experience/comfort interfacing with client facing business lines (including senior/supervisory personnel) and collaborating with other support departments. • Detail-oriented with the ability to multitask, organize, and prioritize. • Willingness to learn and have a “go getter” mentality. • Ability to work both as part of a team as well as independently with limited supervision. • Comfortable working in a high-pressure and fast-paced environment. • Proactive; willing to take on challenging issues/responsibilities and engage/initiate conversations & share ideas. • Able to consistently deliver high quality results/responses in a timely manner. • Bachelor’s Degree • 3-5 yrs experience in compliance/legal (or a related field) at a broker dealer (strongly preferred); other financial institution (Bank, RIA, Asset Manager etc.) or regulator • Fixed Income & Equities institutional investor products exposure (Listed/OTC, Corps, Treasuries & Munis, MBS, IR derivatives etc.) • Active FINRA SIE and Series 7 licenses; Active Series 24 License (or ability to obtain S24 within 120 days of start date) • Proficiency with Microsoft applications (Teams, SharePoint, Excel, Word, etc.) 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) • Health Savings Account (HSA) • Vacation/Personal Days + Holidays • PT Retirement Mission-Driven Employee Stock Ownership Plan • Voluntary Life Insurance + Long-Term Disability Insurance • 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) Apply tot his job Apply To this Job