Job description
About the Firm
Penserra is a diversified financial services firm offering global equity trading, fixed income trading, equity and debt capital markets, ETF Sub-advising, tied hedge trading (Qualified Contingent Trades) and global equity investment management to some of the largest and most sophisticated institutions in the country. Our firm holds to the conviction that there is a better way for a financial services firm to create value. Powered by our people and innovation, Penserra strives to provide its clients with superior service and exceptional results. Our people are what makes our mission possible and why we are dedicated to creating an inclusive and diverse culture where all our colleagues feel welcomed and valued.
Functional Title: Chief Compliance Officer
Corporate Title: Corporate Officer
Assignment: Full Time (Permanent)
Location: Chicago, IL
Responsibilities:
- Respond to regulatory inquiries and examinations.
- Draft Written Supervisory Procedures.
- Assist with annual compliance training.
- Assist with annual compliance filings/reports.
- Oversee review of employee personal trading requests for approval.
- Review employee emails and texts for potential compliance violations.
- Perform AML and OFAC checks on new accounts.
- Respond to client requests and annual auditor requests.
- Responsible for CAT and CAIS Reporting processes.
- Responsible for managing compliance staff.
- Responsible for filing MSRB requirements.
- Maintain employee combined firm attestations.
- Assist with responsibilities for affiliated registered investment advisor.
- Assume leadership responsibilities of office manager.
Qualifications:
- Bachelor’s degree in Finance, Economics or related field.
- JD degree preferred but not required.
- Minimum 7 years of experience in the financial services industry, ideally in the securities industry or compliance function.
- Must have Series 7, Series 24 and Series 63.
- Outstanding verbal and written communication skills with exceptional attention to detail.
- Strong analytical skills with the aptitude to absorb and distill large amounts of data.
Schedule:
M-F: 7:30am to 4:30pm CT; After hours for urgent issues as needed.
Location:
Chicago, IL (Remote work from home 1-2 days per week)
Compensation:
- Dependent upon experience
- As a Penserra employee, your benefits include Medical, Dental, Vision, Long-Term Disability and Life insurance, along with a 401(k) plan with match.
Penserra is an equal opportunity employer. It complies with all laws and regulations that prohibit discrimination in employment practice because of race, color, religion, creed, ancestry, marital status, gender, age, national origin, sexual orientation, unfavorable discharge from the military service or based on a physical or mental disability that is unrelated to the employee's ability to perform the duties of the job applied for.
Job Type: Full-time
Pay: From $175,000.00 per year
Benefits:
- 401(k)
- 401(k) matching
- Dental insurance
- Health insurance
- Life insurance
- Paid time off
- Vision insurance
Physical setting:
- Office
Schedule:
- Day shift
- Monday to Friday
Education:
- Bachelor's (Required)
Work Location: Hybrid remote in Chicago, IL 60605
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