Chief Compliance Officer

3 days ago

New York, New York, United States GCM Grosvenor Full time

Job Summary

The Compliance team at GCM Grosvenor is seeking a Chief Compliance Officer to oversee the firm's compliance program and ensure adherence to regulatory requirements. As a key member of the team, you will be responsible for maintaining and establishing standards, implementing procedures, and identifying, preventing, detecting, and correcting noncompliance with applicable laws and regulations.

Key Responsibilities

  • Oversee the implementation of written supervisory procedures, policies, training, annual testing, transaction monitoring, AML, and AFC compliance.
  • Manage FINRA Gateway filings, coordinate efforts related to broker-dealer audits, inspections, reviews, and examinations, monitoring complaints and reporting as necessary.
  • Lead efforts around employee personal trading compliance, including managing interns who handle employee trading statements.
  • Be involved in Code of Ethics policy decisions, procedures, and program management.
  • Work with various teams and departments to identify and address regulatory risks.
  • Assist with regulatory filings related to affiliated investment advisers and foreign offices.
  • Identify areas of potential compliance risk and vulnerability, oversee and drive effective resolution, reporting to senior management and authorities as necessary.
  • Communicate compliance issues and trends and provide routine compliance reports to management.

Requirements

  • Bachelor's degree required; other advanced degrees or certifications, such as ACAMS, are a plus.
  • FINRA SIE, 7, 24, and 63 required for the role as CCO Broker-Dealer; Series 99 is a plus.
  • Seven to ten years of experience working in a legal or compliance-related role within a financial services firm or at a reputable compliance consultant.
  • Understanding of regulatory and self-regulatory agencies and the requirements of relevant laws and regulations.
  • Knowledge and experience with industry best practices in compliance management.
  • Ability to read, interpret, and implement changes to regulation, particularly as it relates to broker-dealer or broker-dealer compliance.
  • Experience with a variety of Compliance systems and ability to manage changing systems a plus.
  • Strong written and verbal communication skills with the ability to create effective written communications.
  • Strong interpersonal skills, with a strong presence and team-building skills.
  • Strong Microsoft Excel and PowerPoint skills.
  • 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 special client needs.
  • Outstanding organizational skills, time management, and ability to create strong processes.
  • Solid detail orientation combined with strong analytical and problem-solving skills, superior organization, reliability, and project management skills.
  • Player-coach mentality.

About the Firm

GCM Grosvenor is a global alternatives investment firm with more than $67 billion in assets under management. We have specialized in alternatives since 1971 and are dedicated to unlocking value for our clients by leveraging our cross-asset class and flexible investment platform.

Culture

We are committed to creating an inclusive environment where diverse professionals can thrive professionally. We are dedicated to training, retaining, and promoting minorities, women, LGBTQ employees, veterans, and individuals with disabilities.

  • Chief Compliance Officer

    3 weeks ago

    New York, New York, United States Department For The Aging Full time

    Job DescriptionJob Title: Chief Compliance OfficerDepartment: Department For The AgingJob Summary:The Department For The Aging is seeking a highly motivated and experienced Chief Compliance Officer to join our team. As a key member of our leadership team, the Chief Compliance Officer will be responsible for ensuring that our organization is in compliance...

  • Chief Compliance Officer

    2 weeks ago

    New York, New York, United States StoneX Group Inc. Full time

    Job Title: Chief Compliance OfficerStoneX Group Inc. is seeking a highly experienced Chief Compliance Officer to lead our swap dealer compliance program. As a key member of our team, you will be responsible for ensuring our compliance with applicable rules and regulations.Job Summary:The Chief Compliance Officer will serve as the leader in all aspects of...

  • Chief Compliance Officer

    4 days ago

    New York, New York, United States Salient Full time

    {"h1": "Chief Compliance Officer at Salient", "p": "We are seeking a highly skilled and experienced senior compliance professional to join our team as Chief Compliance Officer. As a key member of our organization, you will be responsible for ensuring that our business operations are in compliance with all relevant laws and regulations. Key...

  • Chief Compliance Officer

    2 weeks ago

    New York, New York, United States StoneX Group Inc. Full time

    Job Title: Chief Compliance OfficerStoneX Group Inc. is seeking a highly experienced Chief Compliance Officer to lead our swap dealer compliance program. As a key member of our team, you will be responsible for ensuring our compliance with applicable rules and regulations.Key Responsibilities:Lead the oversight of the swap dealer compliance program, ensuring...

  • Chief Compliance Officer

    6 days ago

    New York, New York, United States StoneX Group Inc. Full time

    Job Title: Chief Compliance OfficerStoneX Group Inc. is seeking a highly experienced Chief Compliance Officer to lead our swap dealer compliance program. As a key member of our leadership team, you will be responsible for ensuring our compliance with applicable rules and regulations.Key Responsibilities:Lead the oversight of the swap dealer compliance...

  • Chief Compliance Officer

    3 days ago

    New York, New York, United States Tradeweb Full time

    Job Title: Chief Compliance OfficerTradeweb is seeking a highly skilled and experienced Chief Compliance Officer to join our team. As a key member of our organization, you will be responsible for ensuring that our company operates in compliance with all relevant laws, regulations, and industry standards.Key Responsibilities:Develop and implement effective...

  • Deputy Chief Compliance Officer

    4 days ago

    New York, New York, United States Banking Careers Full time

    Deputy Chief Compliance Officer Job DescriptionWe are seeking a seasoned banking professional to fill the role of Deputy Chief Compliance Officer. As a key member of the Compliance team, you will be responsible for ensuring that our Compliance Programs are effective in addressing regulatory risks.Key Responsibilities:Provide compliance advice and guidance to...

  • Chief Compliance Officer

    2 weeks ago

    New York, New York, United States Tradeweb Full time

    Job Title: Chief Compliance OfficerWe are seeking a highly skilled and experienced Chief Compliance Officer to join our team at Tradeweb. As a key member of our organization, you will be responsible for ensuring that our company operates in compliance with all relevant laws, regulations, and industry standards.Key Responsibilities:Develop and implement...

  • Chief Compliance Officer

    7 days ago

    New York, New York, United States Tradeweb Full time

    Job Title: Chief Compliance OfficerWe are seeking a highly skilled and experienced Chief Compliance Officer to join our team at Tradeweb. As a key member of our organization, you will be responsible for ensuring that our business operations are in compliance with all relevant laws, regulations, and industry standards.Key Responsibilities:Develop and...

  • Chief Compliance Officer

    2 weeks ago

    New York, New York, United States Neuberger Berman Group LLC Full time

    Job Title: Chief Compliance OfficerNeuberger Berman Group LLC is seeking a seasoned Chief Compliance Officer to lead our compliance program for our registered funds business. As a key member of our Legal and Compliance Department, you will be responsible for ensuring our compliance program is robust, effective, and aligned with regulatory...

  • Chief Compliance Officer

    4 days ago

    New York, New York, United States Sumitomo Mitsui Banking Corporation Full time

    Job Title: Chief Compliance OfficerSumitomo Mitsui Banking Corporation (SMBC) is a leading global financial institution with a rich history dating back to 1609. As a top-tier bank, SMBC offers a wide range of financial services, including corporate and investment banking, securities, and asset management. With a presence in over 40 countries and a team of...

  • Deputy Chief Compliance Officer

    3 weeks ago

    New York, New York, United States Banking Careers Full time

    We are seeking a seasoned banking professional to serve as Deputy Chief Compliance Officer. This role is ideal for a seasoned banking compliance professional looking to take on a leadership position in a dynamic and growing organization. Reporting to the Chief Compliance Officer, the Deputy Chief Compliance Officer will be responsible for ensuring that the...

  • Deputy Chief Compliance Officer

    3 weeks ago

    New York, New York, United States Banking Careers Full time

    We are seeking a seasoned banking professional to fill the role of Deputy Chief Compliance Officer. This position requires a strong background in commercial banking and compliance, with a minimum of 10 years of experience in the industry.Key Responsibilities:Serve as a subject matter expert and support the compliance team in executing its...

  • Chief Compliance Officer

    3 weeks ago

    New York, New York, United States SS&C Full time

    Job SummarySS&C is a leading provider of investment and financial services and software for the financial services and healthcare industries. As a global company, we have 20,000+ employees in over 90 offices in 35 countries. Our clients include 18,000 financial services and healthcare organizations, from the world's largest institutions to local firms, who...

  • Chief Compliance Officer

    2 weeks ago

    New York, New York, United States Sumitomo Mitsui Banking Corporation Full time

    {"h1": "Chief Compliance Officer", "p": "At Sumitomo Mitsui Banking Corporation, we are seeking a highly skilled Chief Compliance Officer to lead our compliance program for an investment advisory firm in Manhattan. As a key member of our team, you will be responsible for ensuring that our activities are conducted in compliance with applicable regulatory...

  • Compliance Officer

    3 days ago

    New York, New York, United States JCW Full time

    Compliance Officer Job DescriptionAt JCW, we are seeking a highly skilled Compliance Officer to join our team in New York City. This role offers the unique opportunity for compliance professionals to work closely with and learn directly from the Chief Compliance Officer.Key Responsibilities:Ensure compliance with all relevant regulations, including SEC and...

  • Compliance Officer

    5 days ago

    New York, New York, United States JCW Full time

    Compliance OfficerAt JCW, we are seeking a highly skilled Compliance Officer to join our team in New York City. This role offers a unique opportunity for compliance professionals to work closely with and learn directly from the Chief Compliance Officer.Key Responsibilities:Ensure compliance with all relevant regulations, including SEC and FINRA rules.Assist...

  • Chief Compliance Officer

    7 days ago

    New York, New York, United States Larson Maddox Full time

    Head of Trading Compliance Job DescriptionLarson Maddox is seeking a seasoned professional to lead the day-to-day execution of the trading compliance program. The ideal candidate will have a deep understanding of equities and fixed income trading compliance, as well as experience managing a program or team.Key Responsibilities:Develop and implement a...

  • Chief Compliance Officer

    3 weeks ago

    New York, New York, United States Tradeweb Markets Full time

    Job DescriptionWe are seeking a highly skilled and experienced Chief Compliance Officer to join our team at Tradeweb Markets. As a key member of our organization, you will be responsible for ensuring that our company remains compliant with all relevant laws and regulations in the financial industry.Key Responsibilities:Compliance Program Management: Develop...

  • Senior Compliance Officer

    2 weeks ago

    New York, New York, United States Ares Management Corporation Full time

    Job Title: Senior Compliance OfficerAres Management Corporation is seeking a highly skilled Senior Compliance Officer to join our Legal and Compliance team. As a key member of our team, you will be responsible for creating and implementing the Firm's Registered Investment Adviser program.Key Responsibilities:Collaborate with the Chief Regulatory Officer to...