Business Line Compliance Officer

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🕒 Abril 24

🌵 Arizona, California, +25 estados a mais – Remoto

🌵 Arizona – Remote 🏄 California – Remote 🦌 Connecticut – Remote 🐊 Florida – Remote 🌺 Hawaii – Remote 🌽 Illinois – Remote 🎰 Nevada – Remote 🏖️ New Jersey – Remote 🗽 New York – Remote 🌲 North Carolina – Remote 🌾 North Dakota – Remote 🏈 Ohio – Remote 🦀 Maryland – Remote 🍂 Massachusetts – Remote 🚗 Michigan – Remote ❄️ Minnesota – Remote 🎸 Mississippi – Remote 🏰 Missouri – Remote 🔔 Pennsylvania – Remote 🌴 South Carolina – Remote 🗿 South Dakota – Remote 🎸 Tennessee – Remote 🤠 Texas – Remote ⛷️ Utah – Remote ⚔️ Virginia – Remote ☕ Washington – Remote 🧀 Wisconsin – Remote

💵 $130.000 - $170.000 / ano

⏰ Tempo Integral

🟠 Sênior

🔴 Especialista

🚔 Conformidade

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Gresham Partners, LLC

SiteLinkedInTodas as Vagas

51 - 200 funcionários

Fundada em 1998

💸 Finanças

Finance • Wealth Management

A Gresham Partners, LLC é uma empresa que oferece serviços independentes de gestão de riqueza. Eles se concentram em gestão de investimentos, planejamento patrimonial e serviços de family office, com ênfase em independência e estratégias de investimento não convencionais. A Gresham Partners acredita em gerar resultados excepcionais ao rejeitar a sabedoria convencional e focar no crescimento e proteção da riqueza dos clientes. Sua expertise na transferência de patrimônio e na consecução de objetivos filantrópicos destaca seu compromisso com soluções personalizadas de planejamento patrimonial. Com mais de 25 anos de experiência e $9 bilhões em ativos sob gestão, a Gresham Partners é dedicada a simplificar as complexidades de gestão de fortuna para seus clientes.

Descrição

• 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.

🎯 Requisitos

• 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.

🏖️ Benefícios

• 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)