Job Summary
The Compliance Analyst plays a crucial role in overseeing trading operations and performing investigations to guarantee compliance with securities regulations, anti-money laundering (AML) requirements, and organizational policies. This position is vital for maintaining regulatory adherence and enhancing risk management practices within the firm.
Responsibilities
- Monitor trading activities and conduct thorough investigations to ensure conformity with securities laws.
- Assess adherence to AML standards and internal compliance policies.
- Document investigative findings and potential compliance breaches effectively.
- Escalate issues related to regulatory violations as necessary.
- Propose improvements to surveillance controls and processes for enhanced compliance measures.
Qualifications
- Bachelor’s degree in finance, business, or economics is required.
- 3 to 6 years of applicable experience in compliance or broker-dealer operations.
- In-depth knowledge of equity market structure and familiarity with SEC and FINRA regulations.
- Experience with surveillance platforms and compliance monitoring tools is essential.
William Blair provides equal employment opportunities to all employees and applicants for employment and prohibits discrimination and harassment of any type without regard to race, color, religion, age, sex, national origin, disability status, genetics, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by federal, state or local laws.
