Job Description

Compliance Intern                                                                                                                                         

SUMMARY

As a member of Compliance, the individual in this position will be responsible for administering and supporting certain compliance functions of GCM Grosvenor. This position is a fixed term internship designed to provide exposure to Compliance within the alternative investments industry for individuals completing an undergraduate degree.

RESPONSIBILITIES           

The individual will be involved in many of the following critical activities:

• Assisting with compliance around employee trading using My Compliance Office (MCO), including reviewing employee trading statements and confirms, sending out FINRA 3210 request letters, and assisting in required pre-clearance requests. Additionally, onboarding new hires in SCT, setting up certifications, reviewing trading exceptions, and adding accounts to electronic data feeds.

• Answering employee questions relating to Code of Ethics matters and personal trading policy.
• Assisting with analyzing conflicts and outside business activities with respect to employees.
• Assisting with forensic testing related to investment adviser and broker dealer annual reviews.

• Reviewing investor subscription agreements to comply with certain requirements, including AML and KYC.
• Reviewing and updating current policies to incorporate operational and Regulatory changes.
• Assisting with regulatory filings.

• Reviewing and summarizing legal cases.
• Other projects as assigned.

EDUCATION, SKILLS AND EXPERIENCE REQUIREMENTS

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

• Currently pursuing a bachelor’s degree with a concentration in Finance, Business, Accounting, Public Policy or Law.
• Demonstrated interest in the compliance field.
• Strong knowledge of securities instruments and capital markets structure.
• Interest in gaining exposure to regulatory and self-regulatory agencies (e.g., SEC, CFTC, FINRA, NFA).
• 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.
• Comfortable with speaking to all levels of employees, from the CEO to most junior staffer.
• 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. They 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, they will be a strong team player with a proactive approach and the ability to exercise discretion and judgment.

ABOUT THE FIRM

GCM Grosvenor (Nasdaq: GCMG) is a global alternative asset management solutions provider with approximately $80 billion in assets under management across private equity, infrastructure, real estate, credit, and absolute return investment strategies.

The firm has specialized in alternatives for more than 53 years and has a diverse, engaged team of approximately 550 professionals serving a global client base. We are proud to offer our employees a comprehensive benefits package focused on health and wellness, retirement planning, and diversity and inclusion. The firm is headquartered in Chicago, with offices in New York, Toronto, London, Frankfurt, Tokyo, Hong Kong, Seoul, and Sydney. For more information, visit:

EQUAL OPPORTUNITY EMPLOYER M/F/D/V

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