Gresham Partners, LLC

Events

• Assist in day-to-day marketing and event operations by collaborating with the Events Manager on the planning, coordination, and execution of marketing initiatives.
• Communicate effectively with internal stakeholders regarding event planning, logistics, and requirements to ensure smooth execution.
• Identify potential event-related issues proactively and implement solutions to ensure successful event outcomes.
• Collaborate with internal stakeholders to create fun, engaging internal events to support our unique culture.
• Manage and maintain data within Dynamics CRM campaigns, ensuring accurate tracking and reporting of events to inform strategic decision-making.
• Support the evaluation, coordination, and management of strategic partnership opportunities that align with marketing and business objectives by collaborating with the broader marketing team.
• Coordinate internal review of event-related and marketing presentations to ensure accuracy, consistency, and brand alignment.

Event Operations Specialist – Analyst

Recruitment

• Partner with hiring managers and HR Talent Acquisition team to execute recruitment strategies for entry-level and junior roles across the firm.
• Lead the full-cycle recruitment process for entry-level and junior talent, including sourcing, screening, interviewing, and onboarding candidates.
• Build and maintain strong relationships with universities, career centers, and student organizations to promote the firm’s brand and attract diverse talent.
• Organize and participate in campus recruitment events, career fairs, and networking sessions (both virtual and in-person).
• Maintain accurate recruitment data and reporting in the applicant tracking system (ATS) to ensure compliance and data integrity.
• Collaborate with the broader Talent Acquisition team to continuously improve candidate experience and recruitment processes.
• Stay current on industry trends, competitor activity, and best practices in early-career recruiting and financial services hiring.

Associate, Talent Acquisition

Compliance

• Complete electronic communications reviews and assist with developing targeted reviews.
• Be a member of special projects teams and assist with integrations/implementations.
• Assist with Compliance Marketing surveillance and reviews including LinkedIn, investor presentations, deal-related material and client education presentations.
• Review and sign off on marketing, sales practice, and client educational content of the firm in partnership with the Marketing and Sales practice areas of the firm.
• Provide timely review of sales practice and marketing materials, including print, digital, and video materials, in accordance with FINRA guidelines.
• Review social media posts in accordance with FINRA guidelines and help manage the social media program.
• Perform transactional surveillance and reviews on Firm controls and supervisory processes related to Marketing and Communications with the Public.
• Help develop supervisory tools related to business activity such as compliance violations logs.
• Assist with monitoring & tracking supervisory oversight; help amend all relevant BL checklists, responsibilities, and reviews as necessary.
• Assist with AML sanction screening and transaction monitoring.
• Be a member of special projects teams and assist with the build out of the Compliance Marketing and AML programs.

Business Line Compliance Officer – Associate, Reviewer, Surveillance

• Manage day-to-day compliance activities
• Execute compliance initiatives
• Monitor regulatory adherence
• Support the coordination and tracking and completion of branch inspections
• Perform Branch Inspections pursuant to FINRA Rule 3110(c)
• Experience performing monitoring and testing Written Supervisory Procedures pursuant to FINRA Rule 3120
• 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

Associate, Core Compliance

• Assist Control Room with daily monitoring of email inbox, deal entry, conflicts checks, wall cross/MNPI requests, and communication with deal teams.
• Monitor statuses of deals in IB & Capital Markets pipeline; maintain accurate statuses in control room module and reconcile control room information with pipeline report from deal team.
• Be a member of special projects teams and assist with integration/implementation of Control Room Vendor, Market Manipulation/Trading Surveillance Vendor, etc.
• Help develop supervisory tools related to business activity such as compliance violations logs.
• Assist with monitoring & tracking supervisory oversight; help amend all relevant BL checklists, responsibilities, and reviews as necessary.
• Support IB deal team with Reg M filings.
• Manage IB/Capital Markets pipeline reports and act as a liaison for status of private side deals.
• Act as the primary touch point for market manipulation surveillance scenario reviews and create documentation.
• Assist with Fixed Income and Equity project work including development of policies & controls, documentation requirements, and metric creation.
• Provide support to Equity trading desk; act as main point of contact for CAT, CAIS & ORF reporting and coordinate with senior compliance officer and counterparties to resolve issues.
• Ensure supervisory program and related controls are in place (training new hires, proper completion of checklists, and adherence to written policies and controls).
• Interpret new Rules and assist BL team with understanding business application.

Senior Business Line Compliance Officer – Analyst, Fixed Income & Equities Advisory

• Manage the review process of employee personal trading accounts including FINRA Rule 3210 letters at onboarding/offboarding of accounts.
• Assist with new hire employee onboarding, FINRA pre-hire checks and tracking.
• Assist with any follow-ups in the onboarding process involving submission of employee disclosures or any projects involving tracking or organization of data collected by Compliance.
• Assist with NFA fingerprint collection by sending via FedEx, NFA fingerprint cards to employees who are applying to be an Associated Person.
• Order study materials for employees seeking to obtain FINRA licensing.
• Knowledge of the FINRA registration process including filing of U4s, U5s, and Form BRs, or ability to acquire these skills.
• Monitor and track employee Licensing and Registration and completion of Firm and Regulatory Element Continuing Education requirements.
• Periodically notify Supervisors of employee progress.
• Monitor NFA Ethics Training due dates and notify employees to complete.
• Ability to process and review employee trade requests and disclosures including OBAs/PSTs, political contributions, gifts, brokerage accounts, and charitable contributions.
• Assist with the review of the Annual Compliance Meeting disclosures including employee work locations.
• 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.

Senior Analyst, Core Compliance

Analyst

• Manage multiple customer and business line inquiries, within a fast-paced, challenging environment
• Liaise with both internal and external counterparties, to ensure timely settlement and efficient resolution of identified settlement breaks
• Ability to multi-task and meet deadlines in a fast paced and time-sensitive environment
• Monitor and action daily processes including but not limited to daily settlement fails, coordinating with clients to resolve cash breaks, manage post settlement factor/coupon trade adjustments, and support client inquiries related to trade activities of the firm
• Engage in general email support and reporting requirements aligned with the day-to-day, monthly and ad hoc business processes
• Ability to be proactive and solutions-oriented in day-to-day operations while working closely with the line of business to resolve issues
• Communicate effectively with team members to provide excellent service to our clients
• Holds themselves accountable and is passionate about delivering high quality work and servicing clients
• Build and maintain internal and external relationships.
• Cross train with other areas within Clearing and Settlements.
• Perform other related duties as required