Compliance Operations Analyst - Winnetka, United States - Bernardi Securities

Description

Bernardi Securities, Inc. /Bernardi Asset Management

Compliance Operations Analyst

Location:
Northfield, IL


Firm description:
Bernardi Securities, Inc.

(BSI) is a broker-dealer, specializing in active municipal bond portfolio management for private clients, public finance services, and fixed income capital market services.

Bernardi Asset Management, LLC (BAM) is a fee only, SEC registered, investment advisory arm of Bernardi Securities, Inc.
It is a wholly-owned subsidiary of BSI.

The Firms expertise is within the municipal bond market.
BSI is headquartered in Northfield, IL with three additional satellite offices within the state. The Firms client base includes banks, corporations, insurance companies, charitable organizations, endowments, advisors, and highnetworth individuals.


Position Summary:
The Compliance Operations Analyst will work
with the Firms financial operations department and will support the Firms daily compliance tasks.


Primary Responsibilities:
Support and monitor company adherence to regulatory compliance standards and internal procedures

Review daily trading reports for compliance and accuracy

Process new accounts and account maintenance and review for KYC and AML

Conduct various periodic regulatory reviews

Prepare periodic regulatory filings


Qualifications:
Minimum of a BS/BA degree (or equivalent)

Ideal candidate will have a minimum of 1-3 years of experience in financial services in a regulated environment, including:

Basic knowledge of KYC (Know Your Customer) and AML requirements

Basic knowledge of fixed income trade reporting (MSRB and TRACE)

Familiarity with Best Execution principles

Familiarity with municipal bond aspects

Experience with FINRA and MSRB is a plus

Detail oriented and extremely organized

Tech savvy and proficient with software applications (must be skilled in Excel) and able to learn new systems and programs

Proven ability to work on multiple tasks at once

FINRA registration 7 and 24 good but not required initially

Experience with FINRA and MSRB is a plus

Must pass a background check


Please send resume to:
Bernardi Securities, Inc. & Bernardi Asset Management LLC are equal opportunity employers.

April 19, 2024

by Jobble

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