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 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: jobs@bernardisecurities.com
Bernardi Securities, Inc. & Bernardi Asset Management LLC are equal opportunity employers.