Senior Compliance Officer

SUMMARY

Reporting to the Global Chief Compliance Officer, the Senior Compliance Officer will have broad responsibilities overseeing and assisting in the administration of the firm’s compliance program.

As an onsite/hybrid employee, you are expected to be in the office on Tuesdays, Wednesdays and Thursdays.  

RESPONSIBILITIES  

• Assist in administration of Rule 206(4)-7 compliance program.
• Serve as lead in review, drafting, monitoring extensive suite of policies and procedures.
• Manage regulatory exams and participate in other regulatory communications and responses.
• Oversee annual review and interim testing program.
• Assist with regulatory filings (g., ADV, PF, TIC filings), including working closely with legal and finance.
• Identify areas of potential compliance risk and vulnerability; oversee and drive effective resolution, reporting to senior management and authorities, as necessary.
• Oversee Code of Ethics, including personal trading, outside business activities, and conflicts.
• Oversee the firm’s restricted and conflicts trading lists.
• Conduct analysis as it relates to potential material non-public information.
• Oversee and enhance risk assessments.
• Participate in client and prospective client due diligence meetings.
• Communicate compliance issues and trends and provide routine compliance reports to management.
• Ensure that the Firm incorporates industry best practices on hedge fund and private equity funds compliance into the daily decision-making processes at the Firm.
• Continuously enhance internal processes, project workflows and other procedures.

EDUCATION, SKILLS AND EXPERIENCE REQUIREMENTS

• Bachelor’s degree required.
• Minimum of eight plus years of experience working in a compliance related role at an alternative assets investment adviser dealing with absolute returns, private equity, infrastructure, and real estate investments.
• Solid understanding of regulatory and self-regulatory agencies (e.g., SEC, CFTC, NFA, FCA) 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.
• Direct experience with SEC examinations working directly with the SEC examiners.
• Experience with SEC Regulatory Filings (Form ADV, PF).
• Player-coach mentality.
• Knowledge and experience with industry best practices in compliance management.
• Knowledge of investment processes at an alternative assets investment adviser.
• Strong written and verbal communication skills with the ability to create effective written communications.
• Strong interpersonal skills, with a strong presence and team building skills.
• 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.
• Outstanding organizational skills and ability to create strong processes.
• Experience with Compliance systems (MCT) or ability to learn quickly.
• Solid detail orientation combined with strong analytical and problem-solving skills, superior organization, reliability, and project management skills.

In terms of cultural fit, the successful candidate will be self-motivated and energized by working amongst a group of thoughtful, smart, fast-paced, and successful colleagues. The individual will be responsive and have a natural sense of urgency and collaboration, communicating with everybody. He or she will enjoy being a part of an organization focused on excellence and will be a naturally collaborative individual who enjoys interacting with individuals at all levels.  Additionally, he or she will be a strong team player with a proactive approach and the ability to take initiative with discretion and judgment.

CULTURE

We are not afraid to think differently. Embrace new ideas. Dream big. Welcome change. We are a culture of empowerment, accountability, high performance, and trust. Successful team members are self-motivated and energized by working alongside thoughtful and smart colleagues in a fast-paced environment. Individuals who thrive on this team enjoy being a part of an organization focused on excellence. We look for naturally collaborative individuals who enjoy interacting at all levels of the organization. 

DIVERSITY, EQUITY & INCLUSION

A diverse, engaged team is critical to our ability to successfully create and deliver value to our clients. We are committed to creating an inclusive environment where diverse professionals can thrive professionally, and we are dedicated to training, retaining, and promoting minorities, women, LGBTQ employees, veterans and individuals with disabilities. Over 55% of GCM Grosvenor employees and 43% of executive management are women and/or ethnically diverse individuals. In addition, we seek to drive a more diverse, inclusive industry through our partnership with diverse professionals organizations and by consciously working with subcontractors and vendors that are certified as minority-, women-, or persons with disabilities-owned businesses.