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
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