William Blair is a Premier Global Partnership that has delivered trusted advice for nine decades. They are seeking a highly motivated Compliance Analyst to support their Core Compliance team, focusing on Code of Ethics administration and various compliance programs.
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)
- Other voluntary benefits
Company Overview
William Blair is a global investment banking and asset management firm. It was founded in 1935, and is headquartered in Chicago, Illinois, USA, with a workforce of 1001-5000 employees. Its website is http://www.williamblair.com.
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