Compliance Associate

The role

The individual will administer and support the compliance functions of GCM Grosvenor. This includes regulatory filings, investor diligence, and monitoring information barriers.

What you will do

• Assisting with Federal, State, and International regulatory filings
• Reviewing investor subscription agreements for AML and KYC diligence
• Assist with ongoing monitoring of third-party administrators and due diligence
• Review and disposition sanction screenings alert
• Helping maintain information barriers program
• Providing compliance guidance to employees on policies, procedures, and protocols
• Performing electronic communications review, surveillance, and testing
• Assisting the Firm and Senior Compliance Officers during audits, regulatory, or mock exams
• Drafting policies and procedures
• Developing and conducting employee trainings

Required qualifications

• Bachelor’s degree
• 2 to 5 years of experience working in a legal or compliance related role within a financial services firm, regulatory body or at a compliance consultant or law firm
• Strong written and oral communication skills
• Understanding of regulatory and self-regulatory agencies and the requirements of the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Exchange Act of 1934, and the S
• Knowledge and experience with industry best practices in compliance management
• Strong interpersonal skills
• Strong Microsoft Excel and PowerPoint skills
• A reliable self-starter
• High energy level with flexibility to work long hours at times
• Responsive to internal and external clients
• Outstanding organizational and time-management skills
• Attention to detail, strong analytical and problem-solving skills, and superior organization and project management skills

Nice to have

• ACAMS
• FINRA Securities Industry Essentials (SIE)
• Series 7
• Experience with a variety of Compliance and AML systems (e.g., RDC, Moody’s, MyComplianceOffice, Complysci, etc.) and ability to manage changing systems and systems implementation

Benefits

• Comprehensive healthcare coverage (including medical, dental, vision and life insurance)
• Flexible spending accounts
• Employer sponsored retirement plan
• Paid time off
• Parental leave
• Short-term and long-term disability
• Other care/wellness programs

About the company

GCM Grosvenor (Nasdaq: GCMG) is a global alternative asset management solutions provider with approximately $97 billion in assets under management. The firm has specialized in alternatives for more than 54 years and has a diverse, engaged team of approximately 560 professionals.