Core Compliance Officer - Analyst

March 14

🌽 Illinois – Remote

Although this job is listed in Illinois, this company may be open to hiring remote in other states.

⏰ Full Time

🟢 Junior

🟡 Mid-level

🚔 Compliance

🚫👨‍🎓 No degree required

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Gresham Partners, LLC

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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.

51 - 200 employees

Founded 1998

💸 Finance

📋 Description

• Performance Trust Capital Partners is seeking a Core Compliance professional to join our team. • This role reporting to the Deputy CCO Core Compliance involves working with the Core Compliance team to manage day to day compliance activities, to execute compliance initiatives, and monitor regulatory adherence. • The Core Compliance Officer role is ideal for a pro-active detail -oriented compliance professional who is excited about supporting the coordination and tracking of compliance disclosures and initiatives and ensuring the timely completion of deliverables. • Assist with new hire employee onboarding, FINRA pre-hire checks and tracking. • Ability to process FINRA registration forms including U4s, U5s, and Form BRs. • Monitor and track Licensing and Registration and completion of Firm and Regulatory Continuing Education requirements. • Ability to process and review employee trade requests and disclosures including OBAs/PSTs, political contributions, gifts, brokerage accounts, and charitable contributions. • Assist with document production for regulatory exams, inquiries, and information requests. • Perform Compliance Monitoring and Testing tasks to complete our obligation under FINRA Rule 3120 to assess our compliance with internal policies and procedures. • Develop, implement, and maintain policies and procedures to ensure ongoing compliance with applicable rules and regulations including operating procedures, compliance manual policies and written supervisory procedures. • Assist the Senior Compliance Officer in conducting the NFA annual self-exam and required NFA regulatory filings to support the firm’s swap dealer business. • Assist with the development and/or implementation of project work to modernize compliance processes.

🎯 Requirements

• Knowledge of the regulatory framework and best practices of an institutional broker dealer (1-3 years) • Possess a general understanding of the current regulatory environment and financial markets and/or securities regulation and rules. • Excellent communication skills both written and verbal. • Detail-oriented, organized, individual able to work in a fast-paced environment and able to multi-task and solve complex problems in a collaborative manner. • Flexibility and openness to assume different tasks and responsibilities within a relatively small team. • Ability to work independently with little supervision. • Proactive and willing to take on issues/responsibilities that require focus and determination.