Senior Compliance Analyst

PTMA Financial Solutions provides treasury management, liquidity management, and other financial products and services to the public sector. In addition to more than 12,000 local governments, school districts and other public entities, we also partner with over 1,000 financial institutions to help strengthen communities from coast to coast. Our family of financial services companies offers local government investment pool administration, investment advisory services, term investments, cashflow analysis, bond proceeds management, and public finance services for public entities plus stable deposit funding solutions for financial institutions.

Our financial expertise, comprehensive products, and advanced technology help clients achieve more today for a better tomorrow. The firm’s primary operational hubs are in Denver, Colorado, and Naperville, Illinois, with other offices throughout the United States.

The Compliance Analyst (Portfolio Management & Trading) plays a hands‑on operational role supporting the firm’s day‑to‑day trading, portfolio management, and investment operations compliance functions. This role is deeply embedded in the trade lifecycle and focuses on pre‑trade and post‑trade compliance, portfolio mandate monitoring, exception management, and regulatory controls applicable to fixed‑income strategies and pooled investment vehicles serving public‑sector clients. The position works closely with Portfolio Managers, Traders, Operations, and the Legal & Compliance team and reports to the Chief Compliance Officer or designee.

This role is not policy‑setting, but execution‑focused, requiring strong attention to detail, system fluency, and the ability to identify, elevate, and resolve compliance issues in real time.

• Perform daily pre‑trade and post‑trade compliance monitoring using Bloomberg and related order management/compliance systems to ensure adherence to portfolio guidelines, client investment policies, and product‑level constraints.
• Review, investigate, and resolve trade alerts, investment guideline exceptions, and compliance breaches, including documentation of findings and remediation steps.
• Monitor portfolio mandate/investment guideline compliance for separately managed accounts and pooled investment vehicles, including maturity limits, issuer/concentration limits, credit quality, and liquidity constraints.
• Participate in portfolio management and credit committee meetings to provide compliance awareness, observe decision‑making processes, and support ongoing monitoring of portfolio activity, credit approvals, and investment actions for alignment with applicable guidelines and policies.
• Monitor, review, and track trade errors and execution issues, coordinate with Trading and Operations on remediation, and maintain required documentation supporting error resolution and client impact analysis.

• Support client account set‑up, maintenance, and termination in Bloomberg and related systems, including accurate configuration of investment guidelines and compliance rules.
• Coordinate with Trading and Operations to ensure guideline changes, board‑approved updates, and client amendments are timely and accurately reflected in systems.
• Assist in testing and validation of compliance rules following system updates, guideline changes, or new product launches.

• Assist in monitoring investment activity for compliance with governing documents and applicable state statutes.
• Conduct and document additional compliance testing, including best execution reviews; fee billing reviews, trade allocation testing, broker‑dealer due diligence support, and periodic trade reviews, in accordance with established policies and procedures.

• Assist with execution of the annual compliance review, including completion of assigned tests, data compilation, and written documentation.
• Maintain compliance logs, testing schedules, and evidence supporting regulatory requirements.
• Support responses to regulatory examinations and information requests, including document collection and data…