COMPANY DESCRIPTION:
Solutions for Today’s Challenges. Vision for Tomorrow’s Opportunities. Join the Premier Global Boutique: William Blair.
At William Blair, serving our clients starts with the capabilities and collaboration of our team—making our employees our most important asset. Unlike others, we're an independent partnership that is personally committed to our people and clients. What sets us apart is the way we do it—our culture, our values, and our commitment to local communities.
We strive to attract the most qualified, passionate candidates who specialize in investment banking, investment management, private wealth management, and a variety of other business functions.
Currently, our firm has more than 2,100 employees throughout North America, Europe, Asia and Australia.
A top priority of ours is talent development, fostering professional and personal growth of our employees. We take pride in empowering our people to bring their best thinking each day so we can deliver the tailored, thoughtful work and problem-solving abilities that our clients have come to expect.
We work tirelessly to create an inclusive culture. Our employees have unique experiences, perspectives and backgrounds to thoughtfully meet the evolving challenges and opportunities facing our global client base amid dynamic market conditions and varying industries, whether technological, economic or geopolitical.
We are equally proud of our long-term partnerships with the communities in which we live and work, a legacy we inherited from our founder more than 85 years ago.
For more information about our firm, log onto www.williamblair.com.
JOB SUMMARY & RESPONSIBILITIES:
The Compliance Analyst, covering Core Compliance, will report to the Head of Core Compliance. Core Compliance manages Personal Account Dealings, Registrations and Licensing, Compliance Certifications (annual, quarterly, periodic), Compliance Training, Outside Business Activities, Private Investments and Policy Management for employees.
We are searching for an individual with experience in administering Code of Ethics and Personal Account monitoring at a registered investment adviser to join the Compliance team in Chicago or another U.S. office location to support both William Blair’s Broker Dealer and Investment Adviser entities.
Responsibilities may include but are not limited to:
PERSONAL ACCOUNT DEALINGS
- Administer the company's technology solution to monitor personal trade surveillance
- Communicate to employees the company's Personal Trading Policy, including trading restrictions and disclosure requirements
- Communicate to employees the company's Code of Ethics and review disclosures under the Policy
- Analyze underlying personal trade data for unusual behavior to identify conflicts of interest and other risks potentially not readily identified by the technology
- Work with other stakeholders in testing and updating the firm's technology solution to monitor personal trading
- Develop relationships with employees and management to advise on and encourage adherence to compliance policies
- Generate and deliver reports to legal personnel, human resources and management
COMPLIANCE CERTIFICATIONS/OUTSIDE BUSINESS ACTIVITIES, PRIVATE INVESTMENTS CONFLICT REVIEWS
- Manage day –to-day Compliance New Hire Attestation assignments, Outside Business activities reviews
- Issue Quarterly Compliance certifications, handle responses that require review and escalation
- Oversee the Compliance requirements assignment process to ensure employees and consultants receive the proper requisite compliance training and certification assignments (New Hire and Ongoing)
- Review compliance certifications, outside business activities, and private investments MIS/Monitoring/RFP, Audit and Exam Responses
- Manage monitoring of all Core Compliance Violations, issue policy reminders and disciplinary actions
- Work in conjunction with other members of the Compliance team in testing and updating the firm’s policies and procedures covering all core compliance areas
- Establish routine control testing schedule and oversee reviews (i.e., routinely spot check OBAs disclosed versus Form U4 updates, Attestation and Training assignments, Regulatory Element CE)
- Prepare Core Compliance Dashboard and coordinate MIS for Core Compliance which includes monitoring of Core Compliance Action items (i.e., outstanding Registrations, Annual, Quarterly and Ad-hoc disclosures that require action, outstanding training assignments.
- Assist in gathering information in response to client questionnaires/RFPs, Internal Audit and Regulatory exam requests as needed
OTHER
- Conduct Compliance New Hire training as needed
- Provide training to individuals on Core Compliance policies and procedures as needed
- Provide additional compliance support across the global compliance team, including the compliance teams supporting William Blair’s diversified business activities, as required
- Work closely with business and corporate functions such as Legal, Human Resources, and Internal Audit as needed
QUALIFICATIONS:
- Bachelor’s degree and 3+ years of compliance experience, preferably in Core Compliance functions within a registered investment adviser
- Strong analytical skills and the ability and willingness to navigate, interpret and apply the rules and regulations promulgated by the SEC and FINRA
- Knowledge of financial markets and products
- Comprehensive analytical and problem-solving skills required
- Familiarity with regulatory compliance and trade monitoring software
- Experience analyzing trading data and drafting reports on flagged trades in the trade surveillance
- Personal account dealing knowledge and experience with personal account disclosures, broker feeds, post-trade surveillance, and violation reviews.
- Broad knowledge of the financial industry and industry surveillance best practice
- Team player – one who can prioritize in a fast moving, high pressure, constantly changing environment
- Ability to build, develop and maintain solid working relationships throughout various businesses and corporate departments
- Proficient in Microsoft Office, specifically Excel
- Strong organization and analytical skills and capable of independently handling multiple projects to completion
- Strong written and verbal communication skills, and strong attention to detail
- An analytical mind, the ability to solve complex problems and streamline processes
- Strong written and verbal communications skills
- Broad product and industry knowledge
