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    Compliance Operations Analyst - Winnetka, United States - Bernardi Securities

    Bernardi Securities
    Bernardi Securities Winnetka, United States

    1 month ago

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    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

    #J-18808-Ljbffr
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