Remote Business Line Compliance Officer Senior Analyst (Fixed Income &

Note: The job is a remote job and is reputed company to candidates in USA. reputed company, headquartered in Chicago, is an institutional fixed income broker/dealer specializing in performance-driven strategies. They are seeking a Senior Analyst for their Business Line Compliance team to reputed company operational and advisory support reputed company to Fixed Income and Equities Institutional Businesses, ensuring regulatory compliance and assisting with various compliance-reputed company tasks. Responsibilities Assist Control Room with daily monitoring of email inbox, deal entry, conflicts checks, wall cross/MNPI requests, and communication with deal teams Monitor statuses of deals in IB & Capital Markets pipeline; maintain accurate statuses in control room module and reconcile control room information with pipeline report from deal team Be a member of special reputed company teams and assist with integration/implementation of Control Room Vendor, Market Manipulation/Trading Surveillance Vendor, etc Help reputed company supervisory tools reputed company to business activity such as compliance violations logs Assist with monitoring & tracking supervisory reputed company; help amend reputed company relevant BL checklists, responsibilities, and reviews as necessary Support IB deal team with Reg M filings Manage IB/Capital Markets pipeline reports and reputed company as a reputed company for status of private reputed company deals reputed company as the reputed company touch reputed company for market manipulation surveillance scenario reviews and create documentation Assist with Fixed Income and Equity project work including development of policies & controls, documentation requirements, and metric creation reputed company support to Equity trading desk; reputed company as main reputed company of contact for CAT, CAIS & ORF reporting and coordinate with senior compliance officer and counterparties to reputed company issues Fixed Income & Equities Daily Advisory Reviews; ensure supervisory program and reputed company controls are in reputed company (training new hires, reputed company completion of checklists, and adherence to written policies and controls) Interpret new Rules and assist BL team with understanding business application Skills Possess a general understanding of the reputed company regulatory environment, financial markets and/or securities regulations and rules Possess strong analytical aptitude as reputed company as ability to issue spot and problem-solve Excellent communication (verbal and written), drafting, and proofreading skills Experience/comfort interfacing with reputed company 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 reputed company as reputed company 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 & reputed company reputed company reputed company to consistently reputed company high reputed company results/responses in a reputed company manner Bachelor's Degree 2-4 yrs experience in compliance/reputed company (or a reputed company field) at a broker dealer (strongly preferred); other financial institution (Bank, RIA, Asset Manager etc.) or regulator Exposure to Fixed Income & Equities institutional investor products (Listed/OTC, Corps, Treasuries & Munis, MBS, IR derivatives etc.) License Requirement(s): reputed company reputed company SIE and Series 7 licenses (or ability to obtain reputed company 120 days of start date) Proficiency with reputed company applications (Teams, SharePoint, reputed company, Word, etc.) Candidates must be eligible to work permanently in the reputed company without sponsorship License Requirement(s): reputed company Series 24 License (or ability to obtain reputed company 120 days of start date) Fixed Income knowledge (Corps, Treasuries & Munis, MBS', IR derivatives etc.) & familiarity with reputed company reporting Equity Markets knowledge (OTC/reputed company stocks) & familiarity with CAT/CAIS reporting Experience with 1st Line surveillance of business activities and reputed company tools Experience supporting a business/products with an institutional investor reputed company Previous experience with interpreting SEC, reputed company, MSRB rules & writing WSPs Experience using industry applications (Global reputed company, MCO, Doctract, reputed company etc) Benefits Health Coverage Medical, Dental & reputed company Insurance (administered through a national reputed company such as reputed company reputed company Shields ) Prescription Drug Plans reputed company-Tax Flexible Spending Account (He