Gresham Partners, LLC

Business Line Compliance Officer – Associate, Reviewer, Surveillance

Gresham Partners, LLC

full-time

Posted on:

Location Type: Remote

Location: Arizona • California • United States

Visit company website

Explore more

✨ AI Apply
Apply

Salary

💰 $95,000 - $120,000 per year

About the role

  • 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.

Requirements

  • Possess a general understanding of the current regulatory environment, financial markets and/or securities regulations and rules.
  • Excellent communication (verbal and written), drafting, and proofreading skills.
  • Possess strong analytical and critical thinking skills while exercising good judgement.
  • Experience/comfort interfacing with client facing business lines (including senior/supervisory personnel) and collaborating with other support departments.
  • Detail-oriented with the ability to multitask, organize, and prioritize.
  • Willingness to learn and have a “go getter” mentality.
  • Ability to work both as part of a team as well as independently with limited supervision.
  • Comfortable working in a high-pressure and fast-paced environment.
  • Proactive; willing to take on challenging issues/responsibilities and engage/initiate conversations & share ideas.
  • Able to consistently deliver high quality results/responses in a timely manner.
  • Bachelor’s Degree
  • 3-5 yrs experience in compliance/legal (or a related field) at a broker dealer (strongly preferred); other financial institution (Bank, RIA, Asset Manager etc.) or regulator
  • Fixed Income & Equities institutional investor products exposure (Listed/OTC, Corps, Treasuries & Munis, MBS, IR derivatives etc.)
  • Active FINRA SIE and Series 7 licenses; Active Series 24 License (or ability to obtain S24 within 120 days of start date)
  • Proficiency with Microsoft applications (Teams, SharePoint, Excel, Word, etc.)
Benefits
  • Health Coverage
  • 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)
  • Health Savings Account (HSA)
  • Vacation/Personal Days + Holidays
  • 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)

Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard skills
compliancetransactional surveillanceAML sanction screeningregulatory environment understandingfinancial markets knowledgesecurities regulationsanalytical skillscritical thinkingdraftingproofreading
Soft skills
communicationdetail-orientedmultitaskingorganizational skillsproactiveteamworkindependencejudgmenthigh-pressure adaptabilitygo getter mentality
Certifications
FINRA SIESeries 7Series 24