SUMMARY
As a member of Compliance, the summer intern will be responsible for administering and supporting certain compliance functions of GCM Grosvenor. This position is designed to provide exposure to Compliance within the alternative investments industry.
RESPONSIBILITIES
The summer intern 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.
Actual base salary may vary based on factors such as individual's experience, skills, and qualifications for the role. Employees may be eligible for a discretionary bonus based on factors such as individual, team, and company performance as well as a comprehensive benefits package.
ABOUT THE FIRM
GCM Grosvenor (Nasdaq: GCMG) is a global alternative asset management solutions provider with approximately $87 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 54 years and has a diverse, engaged team of approximately 560 professionals serving a global client base. Eligible employees can elect to participate in comprehensive healthcare coverage (including medical, dental, vision and life insurance), flexible spending accounts, and the employer sponsored retirement plan. Additionally, employees are eligible for paid time off, parental leave, short-term and long-term disability, as well as other care/wellness programs.
The firm is headquartered in Chicago, with offices in New York, Toronto, London, Frankfurt, Tokyo, Hong Kong, Seoul, and Sydney. For more information, visit: gcmgrosvenor.com.
EQUAL OPPORTUNITY EMPLOYER M/F/D/V
Top Skills
GCM Grosvenor Chicago, Illinois, USA Office
900 North Michigan Ave., Suite 1100, Chicago, IL, United States, 60611
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