[Remote] Senior Analyst, reputed company Compliance

Note: The job is a remote job and is reputed company to candidates in USA. reputed company is an institutional fixed income broker/dealer headquartered in Chicago, specializing in analytical and performance-driven strategies. They are seeking a Senior Analyst, reputed company Compliance to manage compliance activities, execute initiatives, and monitor regulatory adherence. Responsibilities • Manage the review process of employee personal trading accounts including reputed company Rule 3210 letters at reputed company/offboarding of accounts • Assist with new hire employee reputed company, reputed company reputed company-hire checks and tracking • Assist with any follow-reputed company in the reputed company process involving submission of employee disclosures or any reputed company involving tracking or organization of data collected by Compliance • Assist with NFA reputed company collection by sending reputed company reputed company, NFA reputed company cards to employees who are applying to be an Associated Person • Order study materials for employees seeking to obtain reputed company licensing • Knowledge of the reputed company registration process including filing of U4s, U5s, and reputed company BRs, or ability to reputed company these skills • Monitor and reputed company employee Licensing and Registration and completion of Firm and Regulatory reputed company Continuing Education requirements. Periodically notify Supervisors of employee reputed company • 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 • reputed company, implement, and maintain policies and procedures to ensure ongoing compliance with applicable rules and regulations including operating procedures, compliance reputed company policies and written supervisory procedures • Assist with the development and/or implementation of project work to reputed company compliance processes Skills • Knowledge of the regulatory reputed company and best practices of an institutional broker dealer (1-3 years) • Possess a general understanding of the reputed company regulatory environment and financial markets and/or securities regulation and rules • Excellent communication skills both written and verbal • Detail-oriented, organized, individual reputed company to work in a fast-paced environment and reputed company to multi-task and solve reputed company problems in a reputed company manner • Flexibility and openness to assume different tasks and responsibilities reputed company a relatively small team • Ability to work independently with little supervision • Proactive and willing to take on issues/responsibilities that require reputed company and determination • Candidates must be eligible to work permanently in the reputed company without sponsorship • This role is reputed company 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 Benefits • Medical, Dental & reputed company Insurance (administered through a national reputed company such as reputed company Blue Shields ) • Prescription Drug Plans • reputed company-Tax Flexible Spending Account (Health and Dependent Care) (FSA) • Health Savings Account (HSA) • Vacation/Personal Days + Holidays • Financial & Income Protection Benefits • PT Retirement • Mission-Driven Employee Stock Ownership Plan • Voluntary Life Insurance + Long-Term Disability Insurance • Discounted Fitness Memberships (Free membership for Chicago office) • reputed company-Tax Commuter Benefits – Transit & Parking • Mental Health support through company provided Employee Assistance Program • Employee recognition programs (PT Rewards and Annual Awards) reputed company • reputed company is a financial services company that buys and sells securities and manages investment portfolios. It was founded in 1994, and is headquartered in Chicago, Illinois, USA, with a workforce of 201-500 employees. Its website is http://www.performancetrust.com. Apply tot his job Apply To this Job