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Unconventional wisdom. Exceptional performance.
Business Line Compliance Officer – Associate, Reviewer, Surveillance
Location
Arizona + 26 moreAll locations: Arizona | California | Connecticut | Florida | Hawaii | Illinois | Nevada | New Jersey | New York | North Carolina | North Dakota | Ohio | Maryland | Massachusetts | Michigan | Minnesota | Mississippi | Missouri | Pennsylvania | South Carolina | South Dakota | Tennessee | Texas | Utah | Virginia | Washington | Wisconsin
Posted
151 days ago
Salary
$95K - $120K / year
Seniority
Mid Level
Job Description
Business Line Compliance Officer – Associate, Reviewer, Surveillance
Gresham Partners, LLC
• Complete electronic communications reviews and assist with developing targeted reviews. • Be a member of special projects teams and assist with integrations/implementations. • Assist with Compliance Marketing surveillance and reviews including LinkedIn, investor presentations, deal-related material and client education presentations. • Review and sign off on marketing, sales practice, and client educational content of the firm in partnership with the Marketing and Sales practice areas of the firm. • Provide timely review of sales practice and marketing materials, including print, digital, and video materials, in accordance with FINRA guidelines. • Review social media posts in accordance with FINRA guidelines and help manage the social media program. • Perform transactional surveillance and reviews on Firm controls and supervisory processes related to Marketing and Communications with the Public. • 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. • Assist with AML sanction screening and transaction monitoring. • Be a member of special projects teams and assist with the build out of the Compliance Marketing and AML programs.
Job Requirements
- Possess a general understanding of the current regulatory environment, financial markets and/or securities regulations and rules.
- Excellent communication (verbal and written), drafting, and proofreading skills.
- Possess strong analytical and critical thinking skills while exercising good judgement.
- 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
- 3-5 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
- Fixed Income & Equities institutional investor products exposure (Listed/OTC, Corps, Treasuries & Munis, MBS, IR derivatives etc.)
- Active FINRA SIE and Series 7 licenses; Active Series 24 License (or ability to obtain S24 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)
- 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)
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**Responsibilities:** - Support all our critical day to day compliance responsibilities including IAR registrations, communication reviews, OBA’s and more. - Partner with assigned business partners to directly support their day to day activity, business initiatives and compliance needs. This could include marketing programs, product development, planning recommendations and introducing new member capabilities. - Act as a daily resource to the team on compliance questions and issues, and work with the team on ongoing needs and challenges. - Act as a key point of contact in supporting member issues so we can quickly manage any situation to do what is best for our members. - Support our ongoing regulatory filings (ADV’s are important) and member agreements. - Work with compliance partners and other outside resources we use to ensure we always have an up to date and forward looking program, and solve critical problems. - Support the onboarding of all new hires into our compliance program. - Proactively build out policies and procedures that meet the changing needs of our growing business.



