Compliance Associate

Compliance Associate

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

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.

Actual base salary may vary based on factors such as individuals experience, skills, and qualifications for the role. Employees may be eligible for a discretionary bonus based on factors such as individual, team, and company performance as well as a comprehensive benefits package.

CHICAGO ANNUAL PAY RANGE

$80,000 - $115,000 USD

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.

EQUAL OPPORTUNITY EMPLOYER M / F / D / V