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:
- Conduct post-trade compliance monitoring to ensure compliance with regulatory requirements and client guidelines with minimal supervision
- Review daily system-generated reports, including trading activity reports
- Analyze and prepare responses to compliance inquiries, due diligence questionnaires, AML requests and requests for information/proposal from clients, consultants, and prospects
- Perform designated compliance testing as part of WBIM's annual compliance review process
- 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
- Assist with various other regulatory filings (e.g. Form ADV, Section 13 filings, Form PF, other non-US filings as needed)
- Assist in addressing employee Code of Ethics questions and resolving associated exceptions. Participate in other projects, as needed/requested
- Participate in other projects, as requested
Qualifications:
- Bachelor's degree
- 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.)
- Understanding of federal and state regulations applicable to investment advisers and understanding of investment adviser products and operations
- Collaborative and team-oriented self-starter with strong conceptual and critical thinking skills
- Ability to accurately and concisely summarize complex information
- 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.
Salary Range
$100,000-$115,000 USD
