Compliance Analyst/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.

 

RESPONSIBILITIES           

The individual will be involved in the following critical activities:

  • Managing the development and implementation of appropriate training and monitoring systems to reasonably ensure that Firm is in full compliance with all laws and regulations, including for foreign offices.
  • 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, which may require travel.
  • Preparing and managing Federal, State, or 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.
  • Analyzing recent regulatory guidance and cases and assessing compliance lessons and consequences.
  • Assisting with compliance around employee trading, including reviewing employee trading statements/confirms, sending out FINRA 3210 request letters, and assisting in required pre-clearance requests.
  • Performing onsite office reviews, which will require periodic travel.
  • Performing special projects as assigned.

 

EDUCATION, SKILLS AND EXPERIENCE REQUIREMENTS

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

  • Bachelor’s degree or equivalent.
  • 1-3 years of Legal or Compliance experience, preferably with large institutional asset managers or other financial institutions. Will consider paralegal experience from bulge bracket law firms.
  • Preferred understanding of regulatory and self-regulatory agencies (e.g., SEC, CFTC, NFA, FSA) and the requirements of the Investment Advisers Act of 1940, the Securities Exchange Act of 1934, and the Securities Act of 1933.
  • Strong writing skills with the ability to summarize and digest content quickly and clearly.
  • Detail oriented with strong analytical and problem-solving skills, including project management.
  • Strong interpersonal skills, with a strong presence and team building skills.
  • Interest in the developing regulatory environment for alternative asset management firms and the ability to understand how these trends may affect the Firm.
  • Self-confident and assertive, with a bias for action, requiring a minimum amount of direction, yet also good instincts and judgment regarding when to escalate matters and involve others.
  • Comfortable with speaking to all levels of employees, from the CEO to most junior staffer.
  • High energy level with strong work ethic and flexibility to work long hours at times to accommodate special client needs, including the ability to quickly respond to emails during non-working hours and weekends.
  • Positive attitude and teamwork oriented.

 

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

 

ABOUT THE FIRM

GCM Grosvenor is a global alternative asset management firm with over $55 billion in assets under management in hedge fund strategies, private equity, infrastructure, real estate and multi-asset class solutions. It is one of the largest, most diversified independent alternative asset management firms worldwide. GCM Grosvenor has offered alternative investment solutions since 1971. The firm is headquartered in Chicago, with offices in New York, Los Angeles, London, Tokyo, Hong Kong, and Seoul, serving a global client base of institutional and high net worth investors.

 

GCM Grosvenor specializes in developing customized portfolios for clients who want an active role in the development of their alternatives programs. The firm also offers multi-client portfolios for investors who desire a turn-key solution. Offerings include multi-manager portfolios as well as portfolios of direct investments and co-investments.

 

For more information, visit www.gcmgrosvenor.com.

 

EQUAL OPPORTUNITY EMPLOYER M/F/D/V

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