Gresham Partners, LLC

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

Gresham Partners, LLC

full-time

Posted on:

Location Type: Remote

Location: Arizona • California • United States

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Salary

💰 $75,000 - $95,000 per year

Job Level

Senior

About the role

  • 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.

Requirements

  • Possess a general understanding of the current regulatory environment, financial markets and/or securities regulations and rules.
  • Possess strong analytical aptitude as well as ability to issue spot and problem-solve.
  • Excellent communication (verbal and written), drafting, and proofreading skills.
  • 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
  • 2-4 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
  • Exposure to Fixed Income & Equities institutional investor products (Listed/OTC, Corps, Treasuries & Munis, MBS, IR derivatives etc.)
  • Active FINRA SIE and Series 7 licenses (or ability to obtain 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) (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
analytical aptitudeissue spottingproblem-solvingdraftingproofreadingcompliance violations logssupervisory tools developmentReg M filingspolicy developmentmetric creation
Soft skills
excellent communicationdetail-orientedmultitaskingorganizational skillsproactiveteamworkindependenceability to work under pressurecollaborationwillingness to learn
Certifications
Bachelor's DegreeFINRA SIE licenseSeries 7 license