Part-Time Compliance Intern (Law School)

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 or graduate degree.

RESPONSIBILITIES

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

• Assisting with compliance around employee trading using Schwab Compliance Technologies (SCT), 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.
• 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:

• The ideal experience and critical competencies for the role include the following:
• Graduate school student, particularly those specializing in Law, Finance, Business, or Accounting. 
• 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.

EQUAL OPPORTUNITY EMPLOYER M/F/D/V