Public Side Advisory Compliance Officer – Analyst/Associate

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🔥 2 minutes ago

🇺🇸 United States – Remote

💵 $100k - $130k / year

⏰ Full Time

🟡 Mid-level

🚔 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 Equities and Fixed Income public-side activities • Monitor sales-practice components of the compliance program across Equities and Fixed Income • Support development, implementation, maintenance, and enhancement of public-side compliance risk management programs • Help build and maintain the compliance program for Fixed Income, equity, and derivatives businesses • Review sales and trading activity, including CATS, CAIS, TRF, FINRA TRACE, MSRB trade reporting, report cards, peer groups, breaks, and unmatched transactions • Document and disposition surveillance escalations related to potential market manipulation • Create and maintain public-side policies and controls, including WSPs, Compliance Manual, and Desktop Procedures • Provide real-time policy guidance and education to client-facing business lines • Support regulatory requirement development and monitoring aligned with transactions • Monitor and track supervisory oversight • Build and monitor required trade documents, including confirms, QIB, SMMP, and 2111 disclosures • Participate in compliance process and control projects, public-side investigations, and regulatory inquiries • Coordinate with AML/KYC Officer and Client Services on account opening, onboarding, due diligence, and ongoing reviews • Provide advisory support on onboarding concerns and KYC/AML review and sign-off requirements • Monitor, flag, and communicate regulatory alerts affecting public-side customers • Participate in annual independent AML compliance testing and help remediate findings and update policies • Support KYC/AML projects involving policies, controls, documentation requirements, and metrics for CIP, CDD, and EDD programs

🎯 Requirements

• 3-5+ years of applicable compliance experience, preferably at a broker-dealer with institutional clients • General understanding of the current regulatory environment and financial markets and/or securities regulation and rules • Strong understanding of applicable FINRA and SEC regulations, including TRACE, ORF and CAT/CAIS reporting • Strong analytical aptitude and problem-solving skills • Detail-oriented with ability to multitask, organize, and prioritize • Ability to work as a member of a team in a high-pressure, fast-paced environment and deliver timely responses/results • Proactive and willing to take on issues/responsibilities requiring focus and determination • Experience interfacing with client-facing business lines, including senior/supervisory personnel, and collaborating with support departments • Eligible to work permanently in the United States without sponsorship • Advisory/business line compliance and/or operational compliance experience • ACAMS certification or willingness to obtain • Experience with KYC vendor platforms such as LexisNexis and World-Check • Experience with compliance and surveillance tools such as Global Relay, MCO, Bloomberg, and Doctract • Fixed Income and OTC equity market-making business experience • Familiarity with MSRB and NFA regulations • Series SIE, 7, and 63 preferred • Series 24 required for advancement

🏖️ Benefits

• Medical, Dental & Vision Insurance • 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) • Bonus component dependent on pre-defined performance factors

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