- 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.
- 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.
- 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
- 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
-
Compliance Analyst
1 day ago
HUB International Chicago, United StatesABOUT US · At HUB International, we are a team of entrepreneurs. We believe in empowering our clients, and we do so by protecting businesses and individuals in our local communities. We help businesses evaluate their risks and develop solutions tailored to their needs. We believe ...
-
Compliance Analyst
3 days ago
IMC Financial Markets Chicago, United StatesThe Compliance Team is seeking a qualified individual to drive IMC's regulatory vision by promoting new regulatory developments and best practices, as well as adhering to compliance requirements. · Your Core Responsibilities: · - Monitor daily trading activity using the IMC's in- ...
-
Compliance Analyst
1 week ago
Housing Authority of Cook County Chicago, United States**SUMMARY** · Under direction of the Manager of Compliance, performs analysis of the operating procedures of the Housing Choice Voucher (HCV) Program. The position is responsible for protecting the integrity of the HCV Program by ensuring all of HUD's rules and regulations are fo ...
-
Research and Compliance Analyst
5 days ago
Shirley Ryan AbilityLab Chicago, United StatesBy joining our team, you'll be part of our life-changing Mission and Vision. You'll work in a truly inclusive environment where diversity and equity are championed through words and actions. You'll contribute to an innovative culture that is second to none, one that embraces curi ...
-
HR Compliance Analyst
4 days ago
HUB International Chicago, United StatesOverview · Do you have a passion for building and driving risk management best practices, consulting to deliver best in class solutions, and empowering leaders and employees? Join our HR Compliance team and help make a difference. The HR Compliance COE is a newer function for Hub ...
-
HR Compliance Analyst
2 days ago
HUB International Chicago, United StatesAbout HUB International · At HUB International, we are a team of entrepreneurs. We believe in empowering our clients, and we do so by protecting businesses and individuals in our local communities. We help businesses evaluate their risks and develop solutions tailored to their ne ...
-
Bilingual Field Compliance Analyst
2 days ago
Combined Insurance Chicago, United StatesCombined Insurance, a Chubb Company, is seeking a Bilingual Field Compliance Analyst to join our fast-paced, high energy, growing company. We are proud of our tradition of success in the insurance industry of over 100 years. Come join our team of hard-working, talented profession ...
-
Enhanced Due Diligence Compliance Analyst
2 days ago
Interactive Brokers Chicago, United States**About INTERACTIVE BROKERS** · **This is a hybrid role (three days in the office/two days remote).** · Interactive Brokers Group has been consistently at the forefront of trading innovation, starting with the invention of the first floor-based handheld computer in 1983. We pride ...
-
Compliance Analyst
1 week ago
Addison Group Chicago, United StatesJob Title: Compliance Analyst · Location: Chicago Loop – 5 days onsite for training, then hybrid capability · Industry: Legal · Pay: $65,000 - $70,000 per year · About Our Client: Our client, a leading firm in the legal industry, is seeking a diligent and detail-oriented Complian ...
-
Compliance Analyst
1 week ago
Hub International Chicago, United StatesABOUT US · At HUB International, we are a team of entrepreneurs. We believe in empowering our clients, and we do so by protecting businesses and individuals in our local communities. We help businesses evaluate their risks and develop solutions tailored to their needs. We believe ...
-
Compliance Analyst
6 days ago
Addison Group Chicago, United StatesOur client in the Legal space is seeking a Compliance Analyst to join their team on a DIRECT HIRE basis. Ideal candidates will have 1+ years of compliance related experience and have a bachelors degree. · Job Title: Compliance Analyst · Location: Chicago, IL · Pay Range: $65,00 ...
-
Compliance Analyst
3 days ago
HUB International Chicago, United StatesABOUT US · At HUB International, we are a team of entrepreneurs. We believe in empowering our clients, and we do so by protecting businesses and individuals in our local communities. We help businesses evaluate their risks and develop solutions tailored to their needs. We believe ...
-
Compliance Analyst
1 week ago
Addison Group Chicago, United StatesOur client in the Legal space is seeking a Compliance Analyst to join their team on a DIRECT HIRE basis. Ideal candidates will have 1+ years of compliance related experience and have a bachelors degree. · Job Title: Compliance Analyst · Location: Chicago, IL · Pay Range: $65,0 ...
-
Compliance Analyst
6 days ago
Sidley Austin LLP Chicago, United StatesSummary · The HR Analyst reports to the Global Compliance Manager and is responsible for working closely with the Compliance Specialists to support the firm's compliance program, global mobility program and HR-related DEI data needs. · Duties and Responsibilities · * Maintain com ...
-
Compliance Analyst
1 week ago
HUB International Chicago, United StatesABOUT US · At HUB International, we are a team of entrepreneurs. We believe in empowering our clients, and we do so by protecting businesses and individuals in our local communities. We help businesses evaluate their risks and develop solutions tailored to their needs. We believ ...
-
Compliance Analyst
1 week ago
EquiTrust Chicago, United StatesThe Compliance Analyst (Advertising Review) plays a crucial role in upholding the integrity and regulatory compliance of all advertising and marketing materials. This Compliance Analyst is responsible for ensuring and enabling the adherence to advertising compliance policies by r ...
-
Compliance Analyst
1 week ago
Sidley Austin Chicago, United StatesSummary: · The HR Analyst reports to the Global Compliance Manager and is responsible for working closely with the Compliance Specialists to support the firms compliance program, global mobility program and HR-related DEI data needs. · Duties and Responsibilities: Maintain comp ...
-
Compliance Analyst
1 week ago
Gresham Partners LLC Chicago, United StatesFounded 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. Gre ...
-
Analyst - Compliance
3 days ago
Bally's Corporation Chicago, United StatesAbout Bally's: · Bally's Corporation is one of the world's leading entertainment companies, with millions of players across digital gaming platforms and traditional casino venues. Recognized for our innovation, energy, and dedication to creating thrilling gaming experiences, we ...
-
Analyst - Compliance
1 week ago
Bally's Corporation Chicago, United StatesAbout Bally's: · Bally's Corporation is one of the world's leading entertainment companies, with millions of players across digital gaming platforms and traditional casino venues. Recognized for our innovation, energy, and dedication to creating thrilling gaming experiences, we w ...
Compliance Analyst - Chicago, United States - Gresham Partners, LLC
Description
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:
Education, Experience and Skills:
Benefits:
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:
Reasonable accommodations may be made to enable employees with disabilities to perform the duties and responsibilities.
Compliance Analyst professionals in Chicago
-
Michael Meyer
Experienced investment professional with a demonstrated history of working in venture capital and pr ...
-
chiazokam ohalete
AML ANALYST/BANK BRANCH MANAGER
-
Sam Obonna
Information Security Analyst
-
Janice Guzon
Researcher
-
James Clausing
Master of Business Administration - Management