Compliance Associate

Benefits

Parental leave

Not verified

Non-birth-parent leave

Not verified

Family-building benefits

• Fertility benefits: Not verified
• Adoption assistance: Not verified
• Surrogacy assistance: Not verified

Mental health support

Not verified

Relocation assistance

Not verified

Childcare support

Not verified

Learning budget

Not verified

Verification

Not verified

Salary

$80K-$115K From the posting source

401(k) match

Not verified

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Market context

U.S. role benchmark (BLS OEWS)

$106,409 U.S. median for this role

Projected growth (BLS Employment Projections)

+7.7% - Faster than average

8% below the BLS role benchmark for finance aggregate.

Matched to SOC 13-2011 - Finance aggregate by role bucket.

Source: U.S. Bureau of Labor Statistics, OEWS, May 2024 and Employment Projections, 2024-2034.

Role

Role function

Finance From the posting source

Seniority

Mid From the posting source

Work mode

Hybrid From the posting source

In-office days

2 days From the posting source

Schedule

Shift type

Not verified

Weekend work

Not verified

Company

Equity

Offered Verified - SEC 10-K source

Application

Cover letter

Not verified

Assessment

Not verified

Deadline

Not stated

Where they hire

State eligibility is not yet verified.

About this role

Compliance Associate Chicago, Illinois, United States SUMMARY 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 Firm's business and collaborating with the Senior Compliance Officers to revise the Firm's 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 Bachelor's degree required. Other certifications or licenses, such as ACAMS, FINRA Securities Industry Essenitials (SIE) and Series 7 are a plus. 2 to 5 years of experience working in a legal or compliance

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