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Compliance Analyst

4 months ago

Chicago, United States Gresham Partners, LLC Full time

Founded in 1997, Gresham Partners, LLC is a $8 billion Chicago-based investment and wealth management firm serving a select group of ultra-high-net-worth families across the country. The firm is known for its independent thinking, investment approach, and performance results. Gresham Partners is seeking a candidate to join our firm as a Compliance Analyst in our Chicago office. The Compliance Analyst will support the Chief Compliance Officer in overseeing Gresham’s compliance program and will also work closely with the firm’s operations and finance teams.

 

Responsibilities:

  • Assisting CCO with maintaining an effective compliance program that manages and mitigates risk through the design, implementation and testing of policies, procedures, and best practices.
  • Reviewing and approval of marketing materials and social media usage.
  • Monitoring firm emails, employees’ personal securities transactions, and other potential conflicts of interest for compliance with the firm’s Code of Ethics.
  • Preparing periodic regulatory filings and regulatory registrations.
  • Participating in the annual review of the compliance program and maintenance of the compliance calendar.
  • Assisting in the preparation and presentation of new employee and ongoing compliance training.
  • Supporting CCO with regulatory exams and custody audits.
  • Conducting third-party manager and vendor due diligence through the preparation and distribution of operational due diligence questionnaires.
  • Responding to third-party manager requests for organizational, legal, compliance and anti-money laundering documents, policies and procedures.


Education, Experience and Skills:

  • Bachelor’s degree in finance, accounting or economics preferred.
  • 1-3 years prior work experience with RIA compliance.
  • Innovative, intellectually curious and an eager learner.
  • Demonstrated understanding of the Investment Advisors Act of 1940.
  • Demonstrated strength in Microsoft Office suite, experience in Adobe Acrobat and Microsoft SharePoint highly desired.
  • High degree of attention to detail, organization, confidentiality, and urgency with an ability to multi‐task and prioritize under tight deadlines.
  • Superior communication skills, both verbal and written.
  • Motivated; self‐starter; can work both independently and in a team environment and comfortable working with a variety of personalities.
  • Ability to live and work in the U.S.; Gresham Partners is not able to sponsor visas for this position.


Benefits:

  • Medical, Dental & Vision (HSA, FSA options)
  • Employer Paid Life Insurance
  • Employer Paid Short Term Disability
  • Employer Paid Parental Leave
  • Optional Life Insurance, Long Term Disability, Spousal & Child Life Insurance
  • 401(k)
  • Flex Schedules
  • 15 Vacation Days, 5 Sick Days, 1 Floating Holiday
  • Education Reimbursement Programs

 

Physical Demands: The physical demands described here are representative of those that must be met by an employee to successfully perform the duties and responsibilities of this job.

Must be able to:

  • Remain stationary for reasonable periods of time typing and/or reading at a computer
  • Move around an office environment during a workday
  • Work in-person in downtown Chicago
  • Communicate with employees, clients, and/or vendors by telephone or in person
  • Sustain mental/visual attention for reasonable periods of time

Reasonable accommodations may be made to enable employees with disabilities to perform the duties and responsibilities.