William Blair, a Premier Global Partnership, is seeking a highly motivated Compliance Analyst to join their Core Compliance team. This role involves supporting various compliance programs and executing the firm's compliance policies while gaining broad exposure to compliance functions.
Responsibilities
- Administer the company's technology solution (MyComplianceOffice) to monitor personal trade surveillance across William Blair’s various business units
- Communicate the company's Code of Ethics to employees and review disclosures under the Code of Ethics
- Analyze underlying personal trade data for unusual behavior to identify conflicts of interest and other risks
- Work with other stakeholders in testing updates to the firm's technology solution to monitor employee activities
- Develop relationships with employees and management to advise on and encourage adherence with compliance policies
- Generate and deliver reports to legal personnel, human resources and management
- Manage day-to-day Compliance New Hire, Quarterly and Annual Attestation assignments
- Issue Quarterly Compliance certifications, handle responses that require review and escalation
- Oversee and assign the Compliance requirements in MCO to ensure that employees consultants receive the proper requisite compliance training and certification assignments (New Hire and Ongoing)
- Assist with e-communications surveillance and eDiscovery related to regulatory and legal matters
- Manage monitoring of Code of Ethics and Policy infractions, including issuance of policy reminders and discipline
- Prepare and provide monthly/quarterly reporting and statistics to Compliance leadership to be used in internal governance committees, Board and Client Reporting
- Work in conjunction with other members of the Legal & Compliance team in testing and updating the firm’s policies and procedures covering all core compliance areas
- Establish routine testing schedule and oversee reviews (i.e., routinely spot check OBAs disclosed versus Form U4 updates, Attestation and Training assignments, Regulatory Element CE)
- Collaborate with business units on AML/KYC reviews and assist with management of the AML Program
- Assist with gathering of information in response to Internal Audit and Regulatory exam requests as needed
- Assist with U.S. Individual and Entity Registration filings (Forms U4 / U5, Form BR, BD, ADV)
- Create and publish management reports to Business Heads and Compliance Advisory Partners
- Assist in the development and delivery of conflicts management tools and reports in support of global compliance needs
- Stay informed on regulatory changes and industry best practices; contribute to enhancing internal policies and procedures
- Participate in the development and execution of compliance training programs to raise awareness of regulatory obligations
- Continuously review and improve internal controls, policies, and procedures to ensure they meet evolving regulatory and operational requirements
Skills
- Bachelor's degree in finance, business, economics, or related field
- 1-3 years of compliance experience, preferably in an asset management firm/registered investment advisor administering Code of Ethics
- Strong analytical and problem-solving skills; ability to identify and escalate issues effectively
- Excellent written and verbal communication skills
- Strong Excel skills, including pivot tables and lookups, with an interest in developing more advanced analytics capabilities
- Familiarity with Power BI and other data visualization/reporting tools working with large data sets
- Demonstrated ability to learn new systems and translate data into practical insights for decision-making
- Detail-oriented with strong organizational skills and ability to manage multiple tasks
- Ethical mindset and commitment to maintaining the highest standards of compliance and integrity
- Collaborative team player who can work effectively across business lines
- Curious and proactive, with a willingness to learn and take ownership of assignments
- Ability to work independently in a fast-paced, dynamic environment
- This role may require occasional travel for regulatory meetings, internal training sessions, or industry conferences
- Flexibility in working hours may be required to manage urgent compliance matters
- Other projects or responsibilities as may be requested from time to time
- Expected to work in the Chicago office 3 days per week
Benefits
- Medical, dental and vision coverage
- Employer paid short & long-term disability and life insurance
- 401(k)
- Profit sharing
- Paid time off
- Maven family & fertility benefit
- Parental leave (including adoption, surrogacy, and foster placement)
- As well as other voluntary benefits
Company Overview
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