Business Line Operational Compliance Officer/Project Manager - VP

Description

Performance Trust Capital Partners is seeking a VP for our Business Line Compliance team. We are pursuing candidates with strong project management skills and operational compliance knowledge to oversee the delivery of regulatory and rule mapping projects, ensuring alignment with Compliance Department/Firm priorities and engagement of stakeholders. This is an opportunity to work closely with senior management, the client facing business lines, and many other infrastructure partners, e.g. legal, IT, operations, and marketing. 

Responsibilities & Duties

• Support the Client Facing Business Lines (Equities & FI Sales, Trading, Capital Markets, Investment Banking) by helping to develop and maintain the firm’s Operational Compliance program. 
• Support the development, implementation, maintenance, and continuous enhancement of programs designed to provide effective regulatory compliance risk management and oversight of all client facing business lines. 
• Define project scope, resources, and plan as well as track and drive project outcomes for ongoing BL projects, including building out a project plan, setting deadlines, scheduling meetings, managing stakeholder deliverables, and ensuring milestones are achieved on time.
• Identify, track, and mitigate project risks, assumptions, issues, and dependencies to maintain progress and deliver results. 
• Act as the Compliance contact with other stakeholders (IT Dev, Ops, Vendors, etc) for all operational control builds.
• Lead the production of project milestones and ensure deliverable meets regulatory/operational requirements and governance standards. 
• Help spec, draft, plan, and build out operational controls, policies, and ongoing monitoring/oversight programs related to identified GAPs (remediations) and new business initiatives. 

Requirements

• Possess a general understanding of the current regulatory environment and financial markets and/or securities regulation and rules.
• Well versed in broker dealer regulations, industry standards, and best practices. 
• Operational knowledge as it pertains to implementation of regulatory requirements. 
• Familiarity with project management tools and methodologies.
• Knowledge of and experience with Compliance Marketing programs, Control Rooms/Information Barrier Controls, Trading and Order Management Systems, and Market Manipulation controls/surveillance a plus.  
• Solid understanding of technology’s role in business and compliance controls at a broker dealer. 
• Applicable experience/strong understanding of equities/fixed income securities and doing business with institutional clients. 
• Strong analytical skills and ability to exercise sound judgment in the development and selection of compliance solutions. 
• Strong collaborative skills and experience leading/working on building compliance programs and/or regulatory controls with other departments. 
• Experience/comfort interfacing with client facing business lines (including senior/supervisory personnel) and collaborating with other support departments. 
• 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.   
• Comfortable participating in group/team settings, generating ideas and being proactive in making recommendations.

Qualifications

• Bachelors Degree 
• 7+ yrs in compliance, operations, production, audit, and/or project management role, preferably at a financial institution (Broker-Dealer, RIA etc./) or regulator
• FINRA SIE, Series 7 and 24 (or ability to obtain within 120 days of start date) required