Senior Analyst, Core Compliance

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) Apply tot his job