Gresham Partners, LLC

Associate, Core Compliance

Gresham Partners, LLC

full-time

Posted on:

Location Type: Remote

Location: Arizona • California • United States

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Salary

💰 $95,000 - $120,000 per year

About the role

  • 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

Requirements

  • Knowledge of the regulatory framework and best practices of an institutional broker dealer (3-5 years)
  • Possess a general understanding of the current regulatory environment and financial markets and/or securities regulation and rules
  • Excellent communication skills both written and verbal
  • Detail-oriented, organized, individual able to work in a fast-paced environment and able to multi-task and solve complex problems in a collaborative manner
  • Flexibility and openness to assume different tasks and responsibilities within a relatively small team
  • Ability to work independently with little supervision
  • Proactive and willing to take on issues/responsibilities that require focus and determination
  • Candidates must be eligible to work permanently in the United States without sponsorship.
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) (FSA)
  • 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 & Tools
compliance activitiesregulatory adherencebranch inspectionsFINRA Rule 3110(c)monitoring and testingWritten Supervisory ProceduresFINRA Rule 3120document productionpolicies and proceduresregulatory compliance
Soft Skills
communication skillsdetail-orientedorganizedmulti-taskingproblem-solvingcollaborativeflexibilityindependenceproactivedetermination