GCM Grosvenor · 12 hours ago
Compliance Associate
Chicago, Illinois, United States
Full-time
Hybrid
Entry, Mid Level
$80K/yr - $115K/yr
2+ years expGCM Grosvenor is a global alternative asset management solutions provider, and they are seeking a Compliance Associate to support their compliance functions. The role involves assisting with regulatory filings, preparing documents, and providing compliance guidance to employees.
Asset ManagementBankingFinancial ServicesProfessional Services
Responsibilities
Assisting with RIC regulatory filings (including Forms 3/4/5, N-2, N-CSR, N-CEN, N-PX, SC TO-I, and 40-17G)
Preparing tender offer documents
Assisting with the annual update of the Funds’ Registration Statements
Preparing board meeting materials and organizing board meeting logistics
Collaborating with internal teams to draft the response for the 15(c) request letter
Assisting the Funds’ CCO in conducting the 38a-1 Annual Review
Preparing applications for the fidelity bond and D&O/E&O insurance policy
Coordinating completion of D&O questionnaires
Conducting monthly, quarterly, and annual testing
Drafting policies and procedures
Reviewing investor subscription agreements to comply with certain requirements, including AML and KYC
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)
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
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 other compliance tasks
Qualification
Required
Bachelor's degree required
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
Strong written and oral communication skills
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, MyComplianceOffice, Complysci, etc.) and ability to manage changing systems and systems implementation a plus
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
Preferred
Other certifications or licenses, such as ACAMS, FINRA Securities Industry Essentials (SIE) and Series 7 are a plus
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
Company
GCM Grosvenor
GCM Grosvenor is an investment management firm that specializes in hedge funds, private equity, real estate, and infrastructure investments.
501-1000 employees
Funding
Current Stage
Public CompanyTotal Funding
$195MKey Investors
Cantor Fitzgerald
2023-10-25Post Ipo Equity
2020-11-18IPO
2020-11-17Post Ipo Equity· $195M
Leadership Team
Michael Sacks
CEO
Pamela Bentley
Chief Financial Officer
Recent News
2026-01-09
2026-01-09
Company data provided by crunchbase