Compliance Analyst
William Blair · Chicago, United States · 1mo ago
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William Blair is seeking to add a Compliance Analyst to its William Blair Investment Management (WBIM) dedicated compliance team. This dynamic role reports to the WBIM Chief Compliance Officer and partners closely with the William Blair Funds' Chief Compliance Officer and the broader WBIM compliance team in Chicago. This role is expected to be in the office 3 times per week.
Responsibilities include but may not be limited to:
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Conduct post-trade compliance monitoring to ensure compliance with regulatory requirements and client guidelines with minimal supervision
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Review daily system-generated reports, including trading activity reports
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Analyze and prepare responses to compliance inquiries, due diligence questionnaires, AML requests and requests for information/proposal from clients, consultants, and prospects
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Perform designated compliance testing as part of WBIM's annual compliance review process
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Assist with the review marketing materials and other marketing related and client communications (including electronic communications) for compliance with applicable rules; file required marketing materials with FINRA
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Assist with various other regulatory filings (e.g. Form ADV, Section 13 filings, Form PF, other non-US filings as needed)
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Assist in addressing employee Code of Ethics questions and resolving associated exceptions. Participate in other projects, as needed/requested
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Participate in other projects, as requested
Qualifications:
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Bachelor’s degree
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1-3 years of prior professional experience involving compliance for registered investment advisers and/or registered investment companies and other pooled investment vehicles (CITs, UCITS, private funds, etc.)
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Understanding of federal and state regulations applicable to investment advisers and understanding of investment adviser products and operations
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Collaborative and team-oriented self-starter with strong conceptual and critical thinking skills
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Ability to accurately and concisely summarize complex information
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Strong written and oral communication skills
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A reasonable estimate of the current base salary range at time of posting is below. Base salary does not include other forms of compensation or benefits. Actual base salary within the specified range is based on several factors, including but not limited to applicant's skills, prior relevant experience, specific degrees and certifications, job responsibilities, market considerations and, if applicable, the location of the position.
This role is eligible for either a discretionary annual bonus (based on company, business unit and individual performance) and/or commission-based incentives.
Our featured benefit offerings include 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.
About Our Firm
William Blair strives to attract qualified candidates who specialize in investment banking, investment management, private wealth management, and other strategic resource groups. We are committed to empowering our colleagues to deliver client success and engage in our communities. Our firm has delivered trusted advice for nine decades, continuing to deepen our expertise and relationships across asset classes and markets throughout North America, Europe, and Asia. We provide advisory services, strategies, and solutions to meet clients’ evolving needs amid dynamic market conditions and varying industries. What sets us apart is that we are an independent partnership, with colleagues who have unique experiences, perspectives, and backgrounds. We empower our people to bring their best thinking so we can deliver the tailored, thoughtful work and problem-solving abilities that our clients expect. We invite you to learn more about us by visiting williamblair.com.
William Blair is an equal opportunity employer. It complies with all laws and regulations that prohibit discrimination in employment practice because of race, color, religion, creed, ancestry, marital status, gender, age, national origin, sexual orientation, unfavorable discharge from the military service or on the basis of a physical or mental disability that is unrelated to the employee's ability to perform the duties of the job applied for. EOE m/f/d/v
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