Compliance Operations Analyst
📋 Role Overview & Responsibilities
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 Firm’s expertise is within the municipal bond market. BSI is headquartered in Northfield, IL with three additional satellite offices within the state. The Firm’s client base includes banks, corporations, insurance companies, charitable organizations, endowments, advisors, and high-net-worth individuals.
Position Summary:The Compliance Operations Analyst will work with the Firm’s financial operations department and will support the Firm’s daily compliance tasks.
Primary Responsibilities: Support and monitor company adherence to regulatory compliance standards and internal proceduresReview daily trading reports for compliance and accuracyProcess new accounts and account maintenance and review for KYC and AMLConduct various periodic regulatory reviewsPrepare 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 requirementsBasic knowledge of fixed income trade reporting (MSRB and TRACE)Familiarity with Best Execution principles Familiarity with municipal bond aspectsExperience with FINRA and MSRB is a plusDetail oriented and extremely organized Tech savvy and proficient with software applications (must be skilled in Excel) and able to learn new systems and programsProven 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 plusMust pass a background check
Please send resume to: jobs@bernardisecurities.comBernardi Securities, Inc. & Bernardi Asset Management LLC are equal opportunity employers.
April 19, 2024
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