Financial Services, Investment Banking

Compliance Analyst

Chicago, ILOnsiteFull TimeEntry-level (exp-based)$100,000–$115,000 /yrPosted 2 months agoVisa sponsorship available

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Required skills

Compliance Analyst
Investment Management
WBIM
Chief Compliance Officer
William Blair Funds
post-trade compliance monitoring
regulatory requirements
client guidelines
due diligence questionnaires
AML requests

Nice to have

critical thinking skills
summarize complex information
written communication skills
oral communication skills

Role summary

William Blair is seeking a Compliance Analyst for its Investment Management dedicated compliance team in Chicago. Reporting to the WBIM Chief Compliance Officer, this role involves post-trade compliance monitoring, reviewing reports, responding to inquiries, performing compliance testing, reviewing marketing materials, assisting with regulatory filings (e.g., Form ADV, Section 13, Form PF), and addressing Code of Ethics questions. The ideal candidate has 1-3 years of experience with registered investment advisers/companies, understands relevant regulations, and possesses strong analytical and communication skills. This hybrid role requires 3 days per week in the office.

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Join William Blair, the Premier Global Partnership.

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

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

Be aware of hiring scams: William Blair has clear processes and guidelines with regards to recruiting. We do not request personal financial information in connection with an employment application nor does William Blair extend any employment offers without first conducting an interview through one of its registered offices. William Blair does not use instant messaging services such as WhatsApp, Telegram, or iMessage as part of the recruiting or interviewing process.

Note to External Recruiters / Search Firms: William Blair does not accept unsolicited resumes and will not pay for any placement resulting from the receipt of an unsolicited resume. Any unsolicited resumes received will not be considered as a valid submission.

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