Compliance Operations Analyst

Found in: Appcast US C2 - 2 weeks ago


Northfield, United States Bernardi Securities, Inc. Full time

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.


April 19, 2024




  • Northfield, United States Bernardi Securities, Inc. Full time

    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...


  • Northfield, United States St. Olaf College Full time

    Position Title: Human Resources Operations Coordinator Department: Human Resources Reports To: AVP of Human Resources Classification: Non-Exempt FTE: 1.0 Salary: $20.35 - $22.40 / hr Essential Job Duties: 1. Documentation for Standard Operating Procedures and File Management * Document 'best practice' procedures for HRIS systems used by the college *...

  • Supply Chain Analyst

    18 hours ago


    Northfield, United States Medline Industries Full time

    Minimum Job Requirements Education Bachelor%26rsquo;s degree in Industrial Engineering, Finance, Accounting, Information Services, Mathematics or Applied Statistics. Relevant Work Experience At least 1 year operations and/or inventory management experience or equivalent combination of education and experience. Experience communicating to groups of...


  • Northfield, United States Medline Industries LP Full time

    Requirements: %26middot; Bachelor%26rsquo;s degree in Business, Operational Management, Supply Chain, Information Systems, Mathematics or Applied Statistics. %26middot; Intermediate level skill in Microsoft Excel (for example: using SUM function, VLOOKUP, setting borders, setting column width, inserting charts, using text wrap, sorting, setting headers and...


  • Northfield, United States Carleton University Full time

    Job Title: Associate Athletic DirectorDepartment: Physical Education, Athletics, and RecreationClassification: ExemptGrade: 13FTE: 1.0Position Overview:Carleton College, a highly selective, nationally-ranked liberal arts college in Northfield, Minnesota, seeks to hire an Associate Athletic Director to collaborate with the Athletic Director/Department Chair...

  • Associate Athletic Director

    Found in: beBee jobs US - 5 days ago


    Northfield, Minnesota, United States National Collegiate Athletic Association Full time

    Details Posted: 27-Apr-24 Location: Northfield, Minnesota Type: Full-time Categories: Executive Executive - Associate Athletics DirectorSector: Collegiate SportsSalary Details: Staff Salary and Benefits: The selected finalist's salary will be based on the candidate's qualifications, internal pay structure, and our overall compensation package. Carleton...

  • Associate Athletic Director

    Found in: beBee S US - 5 days ago


    Northfield, United States National Collegiate Athletic Association Full time

    Details Posted: 27-Apr-24 Location: Northfield, Minnesota Type: Full-time Categories: Executive Executive - Associate Athletics DirectorSector: Collegiate SportsSalary Details: Staff Salary and Benefits: The selected finalist's salary will be based on the candidate's qualifications, internal pay structure, and our overall compensation package. Carleton...

  • Associate Athletic Director

    Found in: Talent US C2 - 1 week ago


    Northfield, United States Carleton College Full time

    Job Title: Associate Athletic Director Department: Physical Education, Athletics, and Recreation Classification: Exempt Grade: 13 FTE: 1.0   Position Overview: Carleton College, a highly selective, nationally-ranked liberal arts college in Northfield, Minnesota, seeks to hire an Associate Athletic Director to collaborate with the Athletic...


  • Northfield, United States Medline Gruppe Full time

    Job Description - Quality Engineer- Surgical Gloves (QUA0101VN) Quality Engineer- Surgical Gloves ( Job Number: QUA0101VN ) Primary Location JOB SUMMARY: Under broad supervision, responsible for independently setting basic quality standards for Surgical Gloves manufacturing processes while leading efforts to develop methods for testing, sampling and...


  • Northfield, United States 360-TSG (Tech Staffing Group) Full time

    We are working with one of the more expecting organizations located north of the city.This is a fully-integrated, global marketing company that unites healthcare, retail, and brand marketers to achieve remarkable business results. As a team they create and execute integrated marketing and communications ideas and solutions for some of the more well know...

  • HUMAN RESOURCES OPERATIONS COORDINATOR

    Found in: Careerbuilder One Red US C2 - 2 days ago


    Northfield, MN 55057, USA, United States St. Olaf College Full time

    Position Title: Human Resources Operations CoordinatorDepartment: Human ResourcesReports To: AVP of Human ResourcesClassification: Non-ExemptFTE: 1.0Salary: $20.35 - $22.40 / hrEssential Job Duties:1. Documentation for Standard Operating Procedures and File Management* Document 'best practice' procedures for HRIS systems used by the college* Document SOPs...

  • Overnight Private Duty Nurse

    Found in: beBee S US - 3 weeks ago


    Northfield, United States Aveanna Healthcare Full time

    Registered Nurse (RN)Aveanna Healthcare, the largest home health care company in the U.S., is hiring compassionate Registered Nurses (RN) to provide skilled nursing care to patients in the home setting. We are the hearts of 30,000 caregivers and trusted by over 33,000 families. Qualifications of the Registered Nurse (RN): Must have good standing license...


  • Northfield, United States Aveanna Healthcare Full time

    Registered Nurse (RN)Aveanna Healthcare, the largest home health care company in the U.S., is hiring compassionate Registered Nurses (RN) to provide skilled nursing care to patients in the home setting.  We are the hearts of 30,000 caregivers and trusted by over 33,000 families.   Qualifications of the Registered Nurse (RN):   Must have good standing...


  • Northfield, United States Aveanna Healthcare Full time

    Registered Nurse (RN)Aveanna Healthcare, the largest home health care company in the U.S., is hiring compassionate Registered Nurses (RN) to provide skilled nursing care to patients in the home setting.  We are the hearts of 30,000 caregivers and trusted by over 33,000 families.   Qualifications of the Registered Nurse (RN):   Must have good standing...


  • Northfield, United States Aveanna Healthcare Full time

    Registered Nurse (RN)Aveanna Healthcare, the largest home health care company in the U.S., is hiring compassionate Registered Nurses (RN) to provide skilled nursing care to patients in the home setting.  We are the hearts of 30,000 caregivers and trusted by over 33,000 families.   Qualifications of the Registered Nurse (RN):   Must have good standing...


  • Northfield Falls, United States Genesis Healthcare Full time

    Benefits*Nursing Student Loan Debt Repayment and Tuition Assistance*Variable compensation plans*Health, Dental, Vision, Company-paid life insurance, 401K, Paid Time Off*Tuition, Travel, and Wireless Service Discounts*Employee Assistance Program to support mental health*Employee Foundation to financially assist through unforeseen hardships*Diverse, Equitable...


  • Northfield, MA, United States Aveanna Healthcare Full time

    Registered Nurse (RN)Aveanna Healthcare, the largest home health care company in the U.S., is hiring compassionate Registered Nurses (RN) to provide skilled nursing care to patients in the home setting.  We are the hearts of 30,000 caregivers and trusted by over 33,000 families.   Qualifications of the Registered Nurse (RN):   Must have good standing...