Senior Analyst, Core Compliance
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
About the role
- 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.
Requirements
- Knowledge of the regulatory framework and best practices of an institutional broker dealer (1-3 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)
- Time Off & Work-Life Benefits
- Vacation/Personal Days + Holidays
- Financial & Income Protection Benefits
- PT Retirement Mission-Driven Employee Stock Ownership Plan
- Voluntary Life Insurance + Long-Term Disability Insurance
- Wellness & Everyday Support
- 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
FINRA Rule 3210U4 filingU5 filingForm BR filingNFA fingerprint collectionemployee trade requests processingdisclosures reviewcompliance policies developmentregulatory exams document productioncontinuing education tracking
Soft skills
communication skillsdetail-orientedorganizedmulti-taskingproblem-solvingcollaborativeflexibilityindependenceproactivedetermination
Certifications
FINRA licensing