Job Description
Solutions for Today's Challenges. Vision for Tomorrow's Opportunities. Join William Blair, the Premier Global Boutique. William Blair has delivered trusted advice for nearly nine decades, and we continue to deepen our expertise and relationships across regions, asset classes, and markets throughout North America, Europe, Asia, and Australia.
We are committed to our people and culture, values, clients, and local communities.
What sets us apart is that we are an independent partnership, with employees who have unique experiences, perspectives, and backgrounds. We provide advisory services, strategies, and solutions to meet clients' evolving needs amid dynamic market conditions and varying industries.
We strive to attract the most qualified, passionate candidates who specialize in investment banking, investment management, private wealth management, and a variety of other business functions.
We work tirelessly to create an inclusive culture and take pride in fostering employees' professional and personal growth. We empower our people to bring their best thinking each day so we can deliver the tailored, thoughtful work and problem-solving abilities that our clients expect.
Equally, we are proud of our long-term partnerships with the communities in which we live and work, a legacy we inherited from our founder.
We invite you to learn about how we are seeking excellence in everything we do and empowering our clients' success with passion, creativity, and rigor. For more information, visit williamblair.com.
William Blair Investment Management, LLC (William Blair) is seeking to add a Compliance Analyst to its dynamic Legal & Compliance team. This position will report to the Chief Compliance Officer and will be based in Chicago.
Responsibilities include but may not be limited to:
- Conduct post-trade compliance monitoring to ensure compliance with regulatory requirements and client guidelines.
- Assist with the review of daily system-generated reports, including trading activity reports.
- Assist with the review of marketing materials to ensure compliance with applicable regulatory requirements. Filing of marketing materials with FINRA.
- Assist with various regulatory filings including Section 13, Form PF, and Canadian filings.
- Assist with the annual compliance risk assessment and testing in connection with William Blair's annual review.
- Analyze and prepare responses to compliance inquiries, due diligence questionnaires, AML requests and requests for proposal from clients and prospects.
- Participate in other projects, as requested.
Required qualifications:
- Bachelor's degree.
- Strong conceptual and critical thinking skill.
- Ability to accurately and concisely summarize complex information.
- Strong written and oral communication skills.
- Ability to cooperate in a team environment.
Preferred qualifications:
- Knowledge of the Investment Advisers Act of 1940 and Investment Company Act of 1940.
- Understanding of federal and state regulations applicable to investment advisers.
- Understanding of institutional investment products and operations.
- Series 7, 24, 66 registrations must be obtained in the first 2 years of employment.
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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.
Download William Blair's privacy policies for job applicants:
- California Consumer Privacy Act Privacy Notice (CCPA)
- General Data Protection Regulation Privacy Notice (GDPR)
Contact us should you have any questions or concerns.
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