Business Line Compliance Officer

Emploi pas sur LinkedIn

🕒 il y a 2 mois

🌵 Arizona, California, +25 états de plus – Distant

🌵 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 / an

⏰ Temps Plein

🟠 Senior

🔴 Expert

🚔 Conformité

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Gresham Partners, LLC

Site WebLinkedInTous les Emplois

51 - 200 employés

Fondée en 1998

💸 Finance

Finance • Wealth Management

Gresham Partners, LLC est une société qui offre des services indépendants de gestion de patrimoine. Elle se concentre sur la gestion des investissements, la planification financière et les services de family office avec un accent sur l'indépendance et des stratégies d'investissement non conventionnelles. Gresham Partners croit en la génération de résultats exceptionnels en rejetant la sagesse conventionnelle et en se concentrant sur la croissance et la protection du patrimoine de ses clients. Leur expertise dans le transfert de patrimoine et l'atteinte d'objectifs philanthropiques souligne leur engagement à fournir des solutions de planification de patrimoine personnalisées. Avec plus de 25 ans d'expérience et 9 milliards de dollars d'actifs sous gestion, Gresham Partners s'engage à simplifier les complexités du patrimoine pour ses 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.

🎯 Exigences

• 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.

🏖️ Avantages

• 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)