Regulatory Compliance Associate – Hybrid (AML & Filings)

GCM Grosvenor; Chicago (IL); Hybrid; USD 90,000 - 110,000; Full time

Job summary

GCM Grosvenor is seeking a Compliance professional to administer and support our compliance function. The role is onsite/hybrid, with in-office presence on Tuesdays, Wednesdays, and Thursdays in Chicago.

You will handle regulatory filings, AML/KYC diligence, and information barriers among other tasks. Ideal candidates have a bachelor’s degree and 2–5 years in legal or compliance roles within financial services, strong communication, and knowledge of FINRA/SEC/NFA requirements.

Qualifications

• Bachelor’s degree required; professional certifications are a plus.
• 2 to 5 years in legal or compliance roles within financial services.
• Strong written and oral communication skills.
• Familiarity with FINRA, SEC, NFA, and investment adviser rules.
• Experience with AML/KYC processes and regulatory filings.

Responsibilities

• Assist with Federal, State, and International regulatory filings (e.g., Form ADV, U4/U5, etc.).
• Review investor subscriptions for AML/KYC compliance and monitor third-party administrators.
• Review sanctions screenings and maintain information barriers program.
• Provide day-to-day compliance guidance and training to employees.
• Draft policies, conduct tests, and support audits/regulatory exams.

Skills

Regulatory compliance

AML / KYC

Communication

Excel

PowerPoint

Attention to detail

Time management

Problem solving

Teamwork

Self-starter

Education

Bachelor's degree

ACAMS

FINRA SIE

Series 7

Tools

RDC

Moody’s

MyComplianceOffice

ComplySci

Job description

GCM Grosvenor is seeking a Compliance professional to administer and support our compliance function. The role is onsite/hybrid, with in-office presence on Tuesdays, Wednesdays, and Thursdays in Chicago.

You will handle regulatory filings, AML/KYC diligence, and information barriers among other tasks. Ideal candidates have a bachelor’s degree and 2–5 years in legal or compliance roles within financial services, strong communication, and knowledge of FINRA/SEC/NFA requirements.