Core Compliance Analyst

Core Compliance Analyst

Location:

Chicago - (onsite 3 days per week)

Solutions for Today’s Challenges. Vision for Tomorrow’s Opportunities. Join William Blair, the Premier Global Partnership.

William Blair and Company, L.L.C. is seeking a highly motivated Compliance Analyst with 1-3 years of experience to join our Core Compliance team. This role supports Code of Ethics administration covering Personal Account Dealings, Compliance Certifications (annual, quarterly, periodic), Outside Business Activities, Private Investments, Compliance Training and Policy Management. The analyst will play a key role in executing and enhancing the firm’s various compliance programs supporting William Blair Investment Management, LLC, the institutional asset management business of William Blair.

The position offers an opportunity to gain broad exposure to compliance functions while building expertise in regulatory compliance.

• Administer the company's technology solution (My Compliance Office ) 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  , 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

• 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…