Compliance Associate

Job description

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 expediti...