Core Compliance Analyst - Chicago, Illinois, United States

Only for registered members Chicago, Illinois, United States

21 hours ago

Core Compliance Analyst · Location: Chicago - (onsite 3 days per week) · 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 Per ...

Job description

Core Compliance Analyst

Location: Chicago - (onsite 3 days per week)

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.

Key Responsibilities:

Code of Ethics Administration

Administer the company's technology solution (MyComplianceOffice) 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)

Compliance Reviews and Reporting

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

Registration & Licensing

Assist with U.S. Individual and Entity Registration filings (Forms U4 / U5, Form BR, BD, ADV)
Create and publish management reports to Business Heads and Compliance Advisory Partners

Other

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

Qualifications:

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 visualization/reporting tools working with large data sets
Demonstrated ability to learn new systems and translate data into practical insights for decision-making
Detail-oriented with strong organizational skills and ability to manage multiple tasks
Ethical mindset and commitment to maintaining the highest standards of compliance and integrity
Collaborative team player who can work effectively across business lines
Curious and proactive, with a willingness to learn and take ownership of assignments
Ability to work independently in a fast-paced, dynamic environment
This role may require occasional travel for regulatory meetings, internal training sessions, or industry conferences
Flexibility in working hours may be required to manage urgent compliance matters
Other projects or responsibilities as may be requested from time to time
Expected to work in the Chicago office 3 days per week

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