Compliance Associate

SUMMARY

As a member of Compliance the individual in this position will be responsible for administering and supporting the compliance functions of GCM Grosvenor.

As an onsite/hybrid employee you are expected to be in the office on Tuesdays Wednesdays and Thursdays.

RESPONSIBILITIES

• Assisting with Federal State and International regulatory filings (including Form ADV Form PF CPO PQR/CTA PR AIFMD Annex IV Forms U4 U5 BD BR D and DA).

• Reviewing investor subscription agreements to comply with certain requirements including AML and KYC.

• Helping maintain information barriers program including but not limited to restricted list maintenance conflict reviews and approving expert networks.

• Providing compliance guidance to employees on a day-to-day basis around policies procedures and protocols.

• Performing electronic communications review surveillance other testing and helping conduct the annual review.

• Assisting the Firm and Senior Compliance Officers during audits regulatory or mock exams

• Drafting policies and procedures.

• Developing and conducting employee trainings.

• Analyzing new and pending laws and regulations to identify properly and expeditiously those which may impact the Firms business and collaborating with the Senior Compliance Officers to revise the Firms policies and procedures as necessary.

• Assisting with compliance around employee trading including reviewing employee trading statements/confirms FINRA 3210 request letters and assisting in required pre-clearance requests.

EDUCATION SKILLS AND EXPERIENCE REQUIREMENTS

• Bachelors degree required. Other certifications or licenses such as ACAMS FINRA Securities Industry Essenitials (SIE) and Series 7 are a plus.

• 2 to 5 years of experience working in a legal or compliance related role within a financial services firm (broker-dealer investment adviser etc.) regulatory body (FINRA SEC other SRO) or at a compliance consultant or law firm dealing with broker-dealer investment advisor and AML matters.

• Strong written and oral communication skills.

• Understanding of regulatory and self-regulatory agencies (e.g. FINRA SEC CFTC NFA FSA) and the requirements of the Investment Advisers Act of 1940 the Investment Company Act of 1940 the Securities Exchange Act of 1934 and the Securities Act of 1933.

• Knowledge and experience with industry best practices in compliance management.

• Experience with a variety of Compliance and AML systems (e.g. RDC Moodys MyComplianceOffice Complysci etc.) and ability to manage changing systems and systems implementation a plus.

• Strong interpersonal skills with a strong presence and team building skills.

• Strong Microsoft Excel and PowerPoint skills.

• A reliable self-starter with a bias for action requiring a minimum amount of direction yet also good instincts and judgment regarding when to involve others.

• High energy level with strong work ethic and flexibility to work long hours at times to accommodate time-sensitive deliverables (e.g. regulatory examinations fund closes etc.).

• Responsive to internal and external clients including timely responses to emails.

• Outstanding organizational and time-management skills and ability to create effective processes.

• Attention to detail strong analytical and problem-solving skills and superior organization and project management skills.

In terms of cultural fit the successful candidate will be self-motivated and energized by working amongst a group of thoughtful smart fast-paced and successful colleagues. The successful candidate will enjoy being a part of an organization focused on excellence and will be a naturally collaborative individual who enjoys interacting with individuals at all levels. Additionally the successful candidate will be a strong team player with a proactive approach and the ability to take initiative with discretion and judgment.

ABOUT THE FIRM

GCM Grosvenor (Nasdaq: GCMG) is a global alternative asset management solutions provider with approximately $86 billion in assets under management across private equity infrastructure real estate credit and absolute return investment strategies.

The firm has specialized in alternatives for more than 54 years and has a diverse engaged team of approximately 560 professionals serving a global client base. Eligible employees can elect to participate in comprehensive healthcare coverage (including medical dental vision and life insurance) flexible spending accounts and the employer sponsored retirement plan. Additionally employees are eligible for paid time off parental leave short-term and long-term disability as well as other care/wellness programs.

The firm is headquartered in Chicago with offices in New York Toronto London Frankfurt Tokyo Hong Kong Seoul and Sydney. For more information visit:.

EQUAL OPPORTUNITY EMPLOYER M/F/D/V