Middle Office Associate

Job Type Full-time Description

  

Summary: Performance Trust Capital Partners is adding an Associate, Middle Office to a growing team focused on the development and maintenance of internal controls and audit functions in support of a growing institutional broker dealer business. This role will be focused on the growth and support of a program focused on the oversight of and exception processing within the sales and trading programs of the firm. We are looking for a detail oriented, pro-active and creative individual  that is comfortable working in a fast paced and dynamic environment to join our growing team. 

Description:

Collaborate with Operations, Compliance, Legal, and Business Management to develop and execute a Middle Office function. This function will:

• Develop standards of the middle office program by reviewing firm activities in alignment with industry best practices to determine standards of processing and support within the trading and sales activities. 
• Build and document criteria for standard oversight reporting, processes and procedures in alignment with the Compliance advisory and business line teams to enhance the firms internal controls and escalation practices. 
• Act as a centralized oversight body within the firm, managing the daily processing oversight and review of numerous functional tasks within operations as well as oversee firm supervisory monitoring activities. 
• Remediate, investigate and escalate any outliers or concerns to core departments at PT to confirm accuracy and corrective action where needed. 
• Manage the ongoing addition of new surveillance tasks to the middle office in support of added products, processes, and tasks.
• Build and maintain open communication with the business department leadership of the sales and trading departments; providing insights, guidance and next steps in alignment with the firms middle office program. 
• Act in liaison capacity with Compliance/Legal/Finance for both internal and external audit and inquiry processes. 

Requirements

Requirements:

• Possess strong analytical aptitude and problem-solving skills
• 8+ yrs. or relevant experience   
• Excellent communication (verbal and written)   
• Familiarity with SQL and/or Power BI 
• Possess a general understanding of financial markets, specifically fixed income trading and operational support   
• Detail-oriented with the ability to multitask, organize and prioritize   
• Experience/comfort interfacing with client facing business lines (including senior/supervisory personnel) and collaborating with other support departments     
• Series SIE & 7 required and Series 24 preferred; if not currently licensed, ability to obtain within year