Senior Compliance Officer

at  GCM Grosvenor

Chicago, Illinois, USA - 60611

Start DateExpiry DateSalaryPosted OnExperienceSkillsTelecommuteSponsor Visa
Immediate02 Sep, 2021Not Specified01 May, 2021N/AInfrastructure,Regulatory Filings,High Energy Level,Reliability,Superior Organization,Communication Skills,Interpersonal Skills,Legislation,Regulatory Agencies,Investment Advisers Act,Private Equity,Compliance Management,Investment Company ActNoNo
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Description:

SUMMARY

Reporting to the Global Chief Compliance Officer, the Senior Compliance Officer will help oversee the firm’s compliance program and be the key compliance contact responsible for ensuring and monitoring the private equity, real estate, and infrastructure verticals, certain regulatory filings, and international offices.

EDUCATION, SKILLS AND EXPERIENCE REQUIREMENTS

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

  • Bachelor’s degree required.
  • JD preferred but not required.
  • Minimum of eight plus years of experience working in a compliance related role within a financial services firm or at a reputable compliance consultant dealing with private equity, infrastructure, and real estate investments.
  • Solid understanding of regulatory and self-regulatory agencies (e.g., SEC, CFTC, NFA, FSA) 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.
  • Ability to read, interpret, and implement legislation as it relates to private equity.
  • Experience with SEC Regulatory Filings (Form ADV, PF).
  • Strong fund structure experience with an understanding of how private equity funds work.
  • Knowledge and experience with industry best practices in compliance management.
  • Knowledge of the investment processes at a fund of funds firm.
  • 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.
  • Strong Microsoft Excel and PowerPoint 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 and flexibility to work long hours at times to accommodate special client needs, including the ability to quickly respond to emails during non-working hours and weekends.
  • Outstanding organizational skills and ability to create strong processes.
  • Experience with Compliance systems (SchwabCT) or ability to learn quickly.
  • Solid detail orientation combined with strong analytical and problem-solving skills, superior organization, reliability, and project management skills.
  • Player-coach mentality.

How To Apply:

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Responsibilities:

RESPONSIBILITIES

The individual will be involved in the following critical activities:

  • Serve as day-to-day central point of compliance oversight, issue management, and contact for Private Equity verticals, including Private Equity, Real Estate, Infrastructure.
  • Work on enterprise compliance program for the entire alternative asset management platform.
  • Serve as lead on all regulatory filings related to all affiliated investment advisers and foreign offices (ADV, PF, AIFMD, etc.).
  • Serve as lead and work closely with compliance consultants to reasonably ensure that foreign offices have best-in-class compliance programs.
  • Serve as subject-matter expert with respect to other international regulations (e.g., content, new business, marketing and distribution rules, licensing requirements).
  • Manage regulatory exams with respect to their subject-matter area and participate in other regulatory communications and responses.
  • Be involved in Code of Ethics decisions, policies, procedures, and program management.
  • Serve as lead for the Annual Review of the Private Equity verticals and participate in other testing throughout the year.
  • Participate in client and prospective client due diligence meetings.
  • Develop and improve the Firm’s compliance infrastructure, policies, and external compliance related reporting capabilities.
  • Identify areas of potential compliance risk and vulnerability; oversee and drive effective resolution, reporting to senior management and authorities, as necessary.
  • Communicate compliance issues and trends and provide routine compliance reports to management.
  • Keep current on new and updated policies; update the compliance calendar and risk grid, based on those changes.
  • Ensure that the Firm incorporates industry best practices on hedge fund and private equity fund of funds compliance into the daily decision-making processes at the Firm.
  • Advocate the firm’s compliance policies to the investment and business development sides of the business and problem solving with them at a high level when necessary. Act as a true business partner to the various departments within the firm.

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

  • Bachelor’s degree required.
  • JD preferred but not required.
  • Minimum of eight plus years of experience working in a compliance related role within a financial services firm or at a reputable compliance consultant dealing with private equity, infrastructure, and real estate investments.
  • Solid understanding of regulatory and self-regulatory agencies (e.g., SEC, CFTC, NFA, FSA) 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.
  • Ability to read, interpret, and implement legislation as it relates to private equity.
  • Experience with SEC Regulatory Filings (Form ADV, PF).
  • Strong fund structure experience with an understanding of how private equity funds work.
  • Knowledge and experience with industry best practices in compliance management.
  • Knowledge of the investment processes at a fund of funds firm.
  • 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.
  • Strong Microsoft Excel and PowerPoint 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 and flexibility to work long hours at times to accommodate special client needs, including the ability to quickly respond to emails during non-working hours and weekends.
  • Outstanding organizational skills and ability to create strong processes.
  • Experience with Compliance systems (SchwabCT) or ability to learn quickly.
  • Solid detail orientation combined with strong analytical and problem-solving skills, superior organization, reliability, and project management skills.
  • Player-coach mentality


REQUIREMENT SUMMARY

Min:N/AMax:5.0 year(s)

Financial Services

Accounts / Finance / Tax / CS / Audit

Finance

Graduate

Proficient

1

Chicago, IL, USA