Senior Business Line Compliance Officer Analyst, Fixed Income & Equities

Job Description: Assist Control Room with daily monitoring of email inbox, deal entry, conflicts checks, wall cross/MNPI requests, and communication with deal teams. Monitor statuses of deals in IB & Capital Markets pipeline; maintain accurate statuses in control room module and reconcile control room information with pipeline report from deal team. Be a member of special projects teams and assist with integration/implementation of Control Room Vendor, Market Manipulation/Trading Surveillance Vendor, etc. Help develop supervisory tools related to business activity such as compliance violations logs. Assist with monitoring & tracking supervisory oversight; help amend all relevant BL checklists, responsibilities, and reviews as necessary. Support IB deal team with Reg M filings. Manage IB/Capital Markets pipeline reports and act as a liaison for status of private side deals. Act as the primary touch point for market manipulation surveillance scenario reviews and create documentation. Assist with Fixed Income and Equity project work including development of policies & controls, documentation requirements, and metric creation. Provide support to Equity trading desk; act as main point of contact for CAT, CAIS & ORF reporting and coordinate with senior compliance officer and counterparties to resolve issues. Ensure supervisory program and related controls are in place (training new hires, proper completion of checklists, and adherence to written policies and controls). Interpret new Rules and assist BL team with understanding business application. Requirements: Possess a general understanding of the current regulatory environment, financial markets and/or securities regulations and rules. Possess strong analytical aptitude as well as ability to issue spot and problem-solve. Excellent communication (verbal and written), drafting, and proofreading skills. Experience/comfort interfacing with client facing business lines (including senior/supervisory personnel) and collaborating with other support departments. Detail-oriented with the ability to multitask, organize, and prioritize. Willingness to learn and have a go getter mentality. Ability to work both as part of a team as well as independently with limited supervision. Comfortable working in a high-pressure and fast-paced environment. Proactive; willing to take on challenging issues/responsibilities and engage/initiate conversations & share ideas. Able to consistently deliver high quality results/responses in a timely manner. Bachelors Degree 2-4 yrs experience in compliance/legal (or a related field) at a broker dealer (strongly preferred); other financial institution (Bank, RIA, Asset Manager etc.) or regulator Exposure to Fixed Income & Equities institutional investor products (Listed/OTC, Corps, Treasuries & Munis, MBS, IR derivatives etc.) Active FINRA SIE and Series 7 licenses (or ability to obtain within 120 days of start date) Proficiency with Microsoft applications (Teams, SharePoint, Excel, Word, etc.) 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) Apply To this Job Company : Gresham Partners, LLC Salary : Work from home .