Equities – Compliance Analyst

Equities – Compliance Analyst

Location: Chicago (Hybrid – 3 days onsite per week)

William Blair and Company, L.L.C. is seeking a highly motivated Compliance Analyst/Coordinator with 1-3 years of experience to join our Compliance team. This role supports both our broker-dealer and, with a primary focus on compliance and AML support of our Equity Capital Markets (ECM) and Equities (Sales/Trading and Research) businesses. The analyst will play a key role in monitoring, testing, and enhancing the firm’s compliance program supporting those business lines. The position offers an opportunity to gain broad exposure to compliance functions while building expertise in regulatory compliance.

Key Responsibilities:

Regulatory & Compliance Support

• Support the execution of key requirements of existing ECM and Equities compliance programs and AML Program.
  • Monitor IPO compliance of institutional investors
  • Review daily trading reports, researching exceptions and alerts
  • Assist in responding to client due diligence requests regarding William Blair
  • Review for best execution
  • Assist with monthly Rule 605 and quarterly Rule 606a reporting
  • Monitor market making compliance
  • Assist with SEC and FINRA Blue Sheet inquiries
• Assist with compliance testing, surveillance, and monitoring programs related to ECM and equities business lines.
• Support regulatory filings, audits, and examinations by preparing data requests and assisting in responses

AML & Financial Crimes Compliance

• Conduct client onboarding due diligence (CDD/KYC) reviews, including risk rating assessments, beneficial ownership verification, and sanctions/PEP screening.
• Assist with review and maintenance of foreign bank and client Wolfsberg certifications
• Perform ongoing monitoring of account activity to detect suspicious transactions or red flags.
• Assist with reviews of FinCEN lists of suspected terrorists and money launderers and OFAC sanctions lists
• Maintain and update AML records and documentation to ensure audit readiness.

Other

• Provide guidance to front office and operations teams on KYC requirements and firm procedures.
• Assist in the development and delivery of compliance training materials for employees.
• Stay informed on regulatory changes and industry best practices; contribute to enhancing internal policies and procedures.
• Participate in the development and execution of ECM and Equities focused 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 in a broker-dealer focused in equity capital markets, equity research, and institutional sales/trading.
• Strong analytical and problem-solving skills; ability to identify and escalate issues effectively.
• Excellent written and verbal communication skills.

Desired Attributes:

• Strong Excel skills, including pivot tables and lookups, with an interest in developing more advanced analytics capabilities.
• Familiarity with PowerBI 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 office 3 days per week.

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