Business Line Compliance Officer

Job not on LinkedIn

🕒 April 24

🌵 Arizona, California, +25 more states – Remote

🌵 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

💵 $130k - $170k / year

⏰ Full Time

🟠 Senior

🔴 Lead

🚔 Compliance

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Gresham Partners, LLC

WebsiteLinkedInAll Job Openings

51 - 200 employees

Founded 1998

💸 Finance

Finance • Wealth Management

Gresham Partners, LLC is a company that provides independent wealth management services. They focus on investment management, wealth planning, and family office services with an emphasis on independence and unconventional investment strategies. Gresham Partners believes in generating exceptional results by rejecting conventional wisdom and focusing on growing and protecting clients’ wealth. Their expertise in transferring wealth and meeting philanthropic goals highlights their commitment to personalized wealth planning solutions. With over 25 years of experience and $9 billion in assets under management, Gresham Partners is dedicated to simplifying the complexities of wealth for their clients.

📋 Description

• 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

• 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

• 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)