GCM Grosvenor
Finance / FinServ
ComplianceAssociate
“Compliance Associate at GCM Grosvenor. Skills: compliance, regulatory filings, AML, KYC, compliance guidance, policy drafting, employee training, regulatory analysis. administering and supporting the compliance functions. Assisting with Federal, State, and International regulatory filings”
Industry & Context.
analytical and problem-solving skills
flexibility to work long hours at times to accommodate time-sensitive deliverables (e.g., regulatory examinations, fund closes, etc.)
What They're Looking For.
Must Have
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, 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, interpersonal skills, with a presence and team building skills, 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 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, analytical and problem-solving skills, and superior organization and project management skills
Nice to Have
ACAMS, FINRA Securities Industry Essenitials (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 a plus
What You'll Do.
administering and supporting the compliance functions
Assisting with Federal
and International regulatory filings
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
Performing electronic communications review
other testing and helping conduct the annual review
Assisting the Firm and Senior Compliance Officers during audits
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 Firm’s business and collaborating with the Senior Compliance Officers to revise the Firm’s policies and procedures
Assisting with compliance around employee trading
including reviewing employee trading statements/confirms
FINRA 3210 request letters
and assisting in required pre-clearance requests
How You'll Work.
Team & Collaboration
collaborating with the Senior Compliance Officers to revise the Firm’s policies and procedures, as necessary; interpersonal skills, with a presence and team building skills; interact with individuals at all levels; team player; collaborative individual
Communication Scope
written and oral communication skills; Responsive to internal and external clients, including timely responses to emails
Process & Methodology
superior organization and project management skills, ability to create effective processes
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