Business Line Compliance Officer

Gresham Partners, LLC

Business Line Compliance Officer at Performance Trust providing compliance advisory support for Investment Banking and Capital Markets. Seeking candidates with regulatory guidance experience and strong analytical skills.

Posted 4/24/2026full-timeRemote • Arizona, California, Connecticut, Florida, Hawaii, Illinois, Maryland, Massachusetts, Minnesota, Mississippi, Missouri, Montana, Nevada, New Jersey, New York, North Carolina, North Dakota, Ohio, Pennsylvania, South Carolina, South Dakota, Tennessee, Texas, Utah, Virginia, Washington, Wisconsin • 🇺🇸 United StatesSeniorLead💰 $130,000 - $170,000 per yearWebsite

About the role

Key responsibilities & impact

Provide daily front-line compliance advisory support to the Firm’s Investment Banking and Capital Markets businesses.
Advise on firm policies and procedures and applicable securities laws and regulations for covered business lines (and provide back-up support for others).
Develop policies and controls to align, supervise, and monitor Capital Markets and Investment Banking activity with regulatory requirements and industry best practices.
Oversee implementation and daily execution of sales-practice components of the Firm’s compliance program across Equities and Fixed Income for private-side activities.
Lead and/or participate as the private-side SME for projects to build processes and controls to comply with transactional rules and regulations, including remediations.
Support the Compliance Marketing Officer with marketing reviews and advise on LinkedIn posts, investor presentations, deal materials, and client education content for supported business lines.
Partner with business management and other departments to support existing processes and develop new processes that address business risk and regulatory requirements.
Support the development, implementation, maintenance, and enhancement of programs that provide compliance risk management and supervisory oversight for private-side business lines.
Develop supervisory tools related to business activity; assist with monitoring and tracking supervisory oversight; and update BL checklists, responsibilities, and reviews as needed.
Partner with the Control Room to ensure transparency and visibility into Private Side activities.

Requirements

What you’ll need

Bachelor’s Degree
7+ yrs experience in compliance/legal at a broker dealer or similar financial institution
Fixed Income institutional investor products exposure
Experience with 1st line advisory of Investment Banking and Capital Markets activities
Experience with Private Placement offerings and related regulations
Experience with interpreting regulatory rules, developing controls to ensure compliance & writing related policy
Active FINRA Series 7 or 79 licenses; Active Series 24 License (or ability to obtain S24 within 120 days of start date)
Proficiency with Microsoft applications (Teams, SharePoint, PowerPoint, Excel, Word, etc.)
Candidates must be eligible to work permanently in the United States without sponsorship.

Benefits

Comp & perks

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)

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills & Tools

compliance advisoryregulatory requirementspolicy developmentcontrols developmentsupervisory oversightrisk managementtransactional rules interpretationmarketing reviewprivate placement regulationsinvestment banking activities

Soft Skills

leadershipcommunicationcollaborationorganizational skillsadvisory skills

Certifications

Bachelor's DegreeFINRA Series 7 LicenseFINRA Series 79 LicenseFINRA Series 24 License