Public Side Advisory Compliance Officer (Analyst / Associate)

About Us: Headquartered in Chicago, Performance Trust Capital Partners, LLC is an investment bank that combines Wall Street scale with the agility of an independent, employee-owned firm. We help financial institutions uncover overlooked opportunities, navigate complexity, and make decisions grounded in insight—not impulse. Our work is focused on long-term impact and relationships built on what matters most: trust and enduring performance.

About the Position: We are currently seeking a Public Side Advisory Compliance Officer who will provide front-line compliance advisory support for the firm's compliance program across Fixed Income and Equities Sales and Trading. Reporting to the Capital Markets Compliance Manager, this individual assists in ensuring that public-side activity is aligned with guiding regulatory requirements and industry best practices.

In support of the firm's AML/KYC program, this individual also works with the AML/KYC Officer and the Client Services team on onboarding, KYC reviews, and regulatory alert monitoring, providing meaningful exposure to both advisory and operational compliance functions.

This is an excellent opportunity for a proactive compliance professional to deepen expertise in public-side compliance advisory within a growing institutional broker-dealer.

A note on applying: the best way to be considered is to apply directly through this posting. Contacting team members by email, LinkedIn, or phone doesn't influence hiring decisions, and we may not be able to respond. We review applications carefully, and if you don't match every qualification but your background is relevant, we encourage you to apply anyway. We'll reach out if your experience looks like a strong fit.

Specifically, this individual will be responsible for the following:

1. Daily Advisory & Public-Side Oversight

• Provide daily front-line compliance advisory support to the firm's Equities and Fixed Income business lines for public-side activities.
• Monitor the execution of sales-practice components of the firm's compliance program across Equities and Fixed Income for public-side activities.
• Support the development, implementation, maintenance, and continuous enhancement of programs designed to provide effective regulatory compliance risk management and oversight of public-side business lines.
• Help build and maintain the ongoing compliance program for an expanding public-side business, including Fixed Income, equity, and derivatives; ensure public-side activity is aligned with and monitored in accordance with guiding regulatory requirements and industry best practices.
• Perform review of Equities and Fixed Income sales and trading activity (including but not limited to CATS, CAIS and TRF, FINRA TRACE and MSRB trade reporting, firm report cards and peer groups, breaks and unmatched transactions) to ensure alignment with regulatory requirements and firm policy.
• Provide input and support in the documentation and dispositioning of surveillance escalations related to potential market manipulation.

2. Policy, Controls & Supervisory Oversight

• Assist in the creation and maintenance of public-side policy and controls (e.g., WSPs, Compliance Manual, Desktop Procedures).
• Provide real-time policy guidance and create/provide education to the business with respect to public-side client-facing businesses, including Sales and Trading transactions.
• Support the development and monitoring of regulatory requirements in alignment with transactions.
• Assist with monitoring and tracking supervisory oversight.
• Support the build and monitoring of regulatory required documents (e.g., confirms, QIB, SMMP, and 2111 disclosures) in alignment with trades executed.
• Participate in project work focused on building out processes and other controls necessary for compliance with relevant transactional rules and regulations; participate in public-side investigations and regulatory inquiries.

3. AML / KYC Program

• Align with the AML/KYC Officer and the Client Services team to maintain streamlined workflows for public-side account opening, client onboarding, due diligence, and ongoing reviews; act as escalation point for general inquiries and document maintenance requests.
• Provide daily advisory support to the business lines regarding onboarding concerns and the requirements to complete KYC/AML reviews and sign-off.
• Perform ongoing monitoring, flagging, and communicating of regulatory alerts impacting the public-side customer base.
• Participate in the annual independent testing of the AML compliance program; assist with tracking and remediating findings and with related policy updates.
• Assist with KYC/AML project work, including development of policies and controls, documentation requirements, and metric creation, in support of the firm's AML and KYC (CIP, CDD, and EDD) programs in line with FINRA Rule 3310 and industry best practices.

We are seeking candidates with the following qualifications:

Required Qualifications

• 3-5+ years of applicable compliance experience, preferably at a broker-dealer with institutional clients.
• Possess a general understanding of the current regulatory environment and financial markets and/or securities regulation and rules.
• Strong understanding of applicable FINRA and SEC regulations applicable to this business including but not limited to TRACE, ORF and CAT/CAIS reporting.
• Possess strong analytical aptitude and problem-solving skills.
• Detail-oriented with ability to multitask, organize, and prioritize.
• Ability to work as a member of a team in a high-pressure, fast-paced environment, and deliver timely responses/results.
• Proactive and willing to take on issues/responsibilities that require focus and determination.
• Experience/comfort interfacing with client-facing business lines (including senior/supervisory personnel) and collaborating with other support departments.
• Candidates must be eligible to work permanently in the United States without sponsorship.

Preferred Qualifications

• Advisory/business line compliance and/or operational compliance experience.
• ACAMS certification or willingness to obtain.
• Experience with KYC vendor platforms (LexisNexis, World-Check, etc.).
• Experience with compliance and surveillance tools (e.g., Global Relay, MCO, Bloomberg, Doctract).
• Fixed Income and OTC equity market-making business experience.
• Familiarity with MSRB & NFA regulations.

License Requirements

Series SIE, 7, 63 preferred; Series 24 required for advancement.

Featured 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)

Compensation: The base salary range for this position is $100,000-130,000. This is an estimated range based on the circumstances at the time of posting, however, may change based on a combination of factors, including but not limited to skills, experience, education, market factors, geographical location, budget, and demand. This position is also eligible for a bonus component that would be dependent on pre-defined performance factors. All compensation determinations are based on the skills and experience required for the position and commensurate with experience of selected individuals, which may vary above and below the stated amounts.

For Recruitment Agencies: As our recruitment is primarily handled in-house, we work only occasionally with external agencies, and only those on our existing, pre-approved vendor list. At this time, we are not reviewing or expanding that list. Unsolicited agency resumes, emails or other channels of outreach will not be reviewed. Unsolicited resumes or submissions from external agencies not authorized by our Talent Acquisition team will be considered direct candidate applications. As such, Performance Trust will not assume responsibility for any placement fees associated with these submissions. Outreach to individual employees outside this process will result in permanent removal from consideration for any future approved vendor relationship.

Notice to Applicants: In connection with your application, we collect personal information, including your contact details, resume/CV, education, work history, qualifications and licenses, references and interview notes, and, where permitted, any diversity information you choose to provide, which we use for equal-opportunity monitoring. We use this information to assess your application, communicate with you, meet legal and regulatory requirements and, if you are hired, begin your employment. We may disclose it to recruiters, background-check providers, service providers such as our applicant-tracking system, and our affiliates, as needed, but we do not sell it or use it for advertising. Background checks, which may include the regulatory, credit and criminal-record checks required for securities industry roles, take place after a conditional offer of employment and with your authorization, and your offer depends on satisfactory results. We do not make hiring decisions based solely on automated processing. If you are not selected, we may keep your application information to consider you for future positions; to opt out, contact privacy@performancetrust.com. We will still keep the records the law requires.