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[Remote] Associate, Core Compliance

February 20, 2026

Note: The job is a remote job and is open to candidates in USA. Performance Trust Capital Partners is an institutional fixed income broker/dealer based in Chicago, seeking an Associate, Core Compliance professional to join their team. The role involves managing day-to-day compliance activities, executing compliance initiatives, and monitoring regulatory adherence, while supporting branch inspections and compliance processes.

Responsibilities

Prior experience in performing Branch Inspections pursuant to FINRA Rule 3110(c), MSRB Rule G-27 and NFA branch inspections (NFA Compliance Rule 2-9) is a plus
Experience performing monitoring and testing Written Supervisory Procedures pursuant to FINRA Rule 3120
Knowledge of FINRA Remote Inspection Pilot Program
Knowledge of and appropriate application of FINRA Residential Supervisory Location designation
Knowledge of registrations requirements for individuals and registration requirements in connection with creating FINRA Branches and associated FINRA U4 and Form BR filings in FINRA Firm Gateway. Knowledge of NFA ORS is a plus
Knowledge of Outside Business Activities (“OBAs”), Private Securities Transactions (“PST”), Personal Brokerage Accounts, Gifts and Entertainment
Detail-oriented with ability to multitask, organize and prioritize
Experience/comfort interfacing with client facing business lines (including senior/supervisory personnel) and collaborating with other support departments
Assist with document production for regulatory exams, inquiries, and information requests
Develop, implement, and maintain policies and procedures to ensure ongoing compliance with applicable rules and regulations including operating procedures, compliance manual policies and written supervisory procedures
Assist with the development and/or implementation of project work to modernize compliance processes

Skills

Prior experience in performing Branch Inspections pursuant to FINRA Rule 3110(c), MSRB Rule G-27 and NFA branch inspections (NFA Compliance Rule 2-9) is a plus
Experience performing monitoring and testing Written Supervisory Procedures pursuant to FINRA Rule 3120
Knowledge of FINRA Remote Inspection Pilot Program
Knowledge of and appropriate application of FINRA Residential Supervisory Location designation
Knowledge of registrations requirements for individuals and registration requirements in connection with creating FINRA Branches and associated FINRA U4 and Form BR filings in FINRA Firm Gateway. Knowledge of NFA ORS is a plus
Knowledge of Outside Business Activities (“OBAs”), Private Securities Transactions (“PST”), Personal Brokerage Accounts, Gifts and Entertainment
Detail-oriented with ability to multitask, organize and prioritize
Experience/comfort interfacing with client facing business lines (including senior/supervisory personnel) and collaborating with other support departments
Assist with document production for regulatory exams, inquiries, and information requests
Develop, implement, and maintain policies and procedures to ensure ongoing compliance with applicable rules and regulations including operating procedures, compliance manual policies and written supervisory procedures
Assist with the development and/or implementation of project work to modernize compliance processes
Knowledge of the regulatory framework and best practices of an institutional broker dealer (3-5 years)
Possess a general understanding of the current regulatory environment and financial markets and/or securities regulation and rules
Excellent communication skills both written and verbal
Detail-oriented, organized, individual able to work in a fast-paced environment and able to multi-task and solve complex problems in a collaborative manner
Flexibility and openness to assume different tasks and responsibilities within a relatively small team
Ability to work independently with little supervision
Proactive and willing to take on issues/responsibilities that require focus and determination
Candidates must be eligible to work permanently in the United States without sponsorship
FINRA Firm Gateway and NFA Online Registration System a plus

Benefits

Medical, Dental & Vision Insurance (administered through a national carrier such as Blue Cross Blue Shields)
Prescription Drug Plans
Pre-Tax Flexible Spending Account (Health and Dependent Care) (FSA)
Health Savings Account (HSA)
Vacation/Personal Days + Holidays
Financial & Income Protection Benefits
PT Retirement
Mission-Driven Employee Stock Ownership Plan
Voluntary Life Insurance + Long-Term Disability Insurance
Discounted Fitness Memberships (Free membership for Chicago office)
Pre-Tax Commuter Benefits – Transit & Parking
Mental Health support through company provided Employee Assistance Program
Employee recognition programs (PT Rewards and Annual Awards)

Company Overview

Performance Trust Capital Partners is a financial services company that buys and sells securities and manages investment portfolios. It was founded in 1994, and is headquartered in Chicago, Illinois, USA, with a workforce of 201-500 employees. Its website is http://www.performancetrust.com.

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Common Interview Questions And Answers

1. HOW DO YOU PLAN YOUR DAY?

This is what this question poses: When do you focus and start working seriously? What are the hours you work optimally? Are you a night owl? A morning bird? Remote teams can be made up of people working on different shifts and around the world, so you won't necessarily be stuck in the 9-5 schedule if it's not for you...

2. HOW DO YOU USE THE DIFFERENT COMMUNICATION TOOLS IN DIFFERENT SITUATIONS?

When you're working on a remote team, there's no way to chat in the hallway between meetings or catch up on the latest project during an office carpool. Therefore, virtual communication will be absolutely essential to get your work done...

3. WHAT IS "WORKING REMOTE" REALLY FOR YOU?

Many people want to work remotely because of the flexibility it allows. You can work anywhere and at any time of the day...

4. WHAT DO YOU NEED IN YOUR PHYSICAL WORKSPACE TO SUCCEED IN YOUR WORK?

With this question, companies are looking to see what equipment they may need to provide you with and to verify how aware you are of what remote working could mean for you physically and logistically...

5. HOW DO YOU PROCESS INFORMATION?

Several years ago, I was working in a team to plan a big event. My supervisor made us all work as a team before the big day. One of our activities has been to find out how each of us processes information...

6. HOW DO YOU MANAGE THE CALENDAR AND THE PROGRAM? WHICH APPLICATIONS / SYSTEM DO YOU USE?

Or you may receive even more specific questions, such as: What's on your calendar? Do you plan blocks of time to do certain types of work? Do you have an open calendar that everyone can see?...

7. HOW DO YOU ORGANIZE FILES, LINKS, AND TABS ON YOUR COMPUTER?

Just like your schedule, how you track files and other information is very important. After all, everything is digital!...

8. HOW TO PRIORITIZE WORK?

The day I watched Marie Forleo's film separating the important from the urgent, my life changed. Not all remote jobs start fast, but most of them are...

9. HOW DO YOU PREPARE FOR A MEETING AND PREPARE A MEETING? WHAT DO YOU SEE HAPPENING DURING THE MEETING?

Just as communication is essential when working remotely, so is organization. Because you won't have those opportunities in the elevator or a casual conversation in the lunchroom, you should take advantage of the little time you have in a video or phone conference...

10. HOW DO YOU USE TECHNOLOGY ON A DAILY BASIS, IN YOUR WORK AND FOR YOUR PLEASURE?

This is a great question because it shows your comfort level with technology, which is very important for a remote worker because you will be working with technology over time...

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