Brooks Fleming

Brooks Fleming has a diverse work experience that spans various roles and companies. Currently, they work at GCM Grosvenor as the Broker-Dealer Chief Compliance Officer, Principal, Legal & Compliance. In this role, they oversee compliance, manages the broker-dealer compliance program, and handles interactions with regulatory agencies. Brooks also manages enterprise-wide conflicts and leads efforts on Code of Ethics compliance. Prior to joining GCM Grosvenor, Brooks worked at Citadel, where they held various roles, including Garden Leave, Head of the US Control Room, Compliance Officer & Associate General Counsel, and Compliance Associate. Brooks also gained experience at organizations such as FINRA, where they worked as a Compliance Examiner, and U.S. Commodity Futures Trading Commission, where they interned with the Division of Enforcement. Brooks has also worked as a Research Assistant at The Law Offices of Marc J. Lane, a Professional Corporation, and as a Regulatory Compliance Intern at Northern Trust Corporation. Additionally, they have held positions at UBS Global Asset Management as a Summer Legal Associate and at the Financial Industry Regulatory Authority (FINRA) as a Market Regulation Extern. Brooks has a strong background in legal and compliance, with experience in areas such as regulatory filings, trading compliance, and financial examinations. Brooks holds a J.D. from Chicago Kent College of Law.

Brooks Fleming has attained a Doctor of Law (J.D.) degree from the Chicago-Kent College of Law, Illinois Institute of Technology, with a specialization in Banking, Corporate, Finance, and Securities Law. Prior to that, they completed their undergraduate education at Indiana University Bloomington, earning a Bachelor of Arts (B.A.) degree in Economics/Political Science. Before their college studies, Brooks Fleming received their High School Diploma from Adlai E. Stevenson High School. In addition, they hold several certifications in the financial industry, including Series 24, Series 63, Series 7, and Series 99, which were obtained from the Financial Industry Regulatory Authority (FINRA).