Compliance Associate

3 weeks ago

Chicago, United States GCM Grosvenor Full time

SUMMARYAs 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 and Wednesdays as well as a third day in coordination with your manager.

RESPONSIBILITIES

  • 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 any regulatory or mock exams
  • Assisting with Federal, State, and International regulatory filings (including Form ADV, Form PF, CPO PQR/CTA, AIFMD Annex IV, Forms U4, U5, BR, D, DA, and BD).
  • Drafting policies and procedures.
  • Helping maintain information barriers program, including but not limited to, restricted list maintenance, conflict reviews and approving expert networks.
  • Reviewing investor subscription agreements to comply with certain requirements, including AML and KYC.
  • Developing and conducting employee trainings.
  • Analyzing new and pending laws and regulations to identify properly and expeditiously those which may impact the Firm’s business and collaborating with the Senior Compliance Officers to revise the Firm’s 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

The ideal experience, characteristics, and critical competencies for the role include the following:

  • Bachelor’s degree required. Other advanced degrees or certifications, such as a J.D. or ACAMS, are a plus.
  • FINRA Securities Industry Essentials (SIE) exam and Series 7 could be 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.
  • 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, Moody’s, SchwabCT, MyComplianceOffice, Complysci, etc.) and ability to manage changing systems and systems implementation a plus.
  • Strong written and oral communication skills.
  • 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.

CULTURE

We are not afraid to think differently. Embrace new ideas. Dream big. Welcome change. We are a culture of empowerment, accountability, high performance, and trust. Successful team members are self-motivated and energized by working alongside thoughtful and smart colleagues in a fast-paced environment. Individuals who thrive on this team enjoy being a part of an organization focused on excellence. We look for naturally collaborative individuals who enjoy interacting at all levels of the organization.

DIVERSITY, EQUITY & INCLUSION

A diverse, engaged team is critical to our ability to successfully create and deliver value to our clients. We are committed to creating an inclusive environment where diverse professionals can thrive professionally, and we are dedicated to training, retaining, and promoting minorities, women, LGBTQ employees, veterans and individuals with disabilities. Over 55% of GCM Grosvenor employees and 43% of executive management are women and/or ethnically diverse individuals. In addition, we seek to drive a more diverse, inclusive industry through our partnership with diverse professionals organizations and by consciously working with subcontractors and vendors that are certified as minority-, women-, or persons with disabilities-owned businesses.

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