PWM - Compliance Analyst/Coordinator at William Blair
William Blair · Chicago, United States Of America · Hybrid
- Professional
- Office in Chicago
Solutions for Today’s Challenges. Vision for Tomorrow’s Opportunities.
Join William Blair, the Premier Global Partnership.
William Blair has delivered trusted advice for 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 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 registered investment adviser platforms, with a primary focus on Anti-Money Laundering (AML) compliance and related regulatory requirements. The analyst will play a key role in monitoring, testing, and enhancing the firm’s compliance program within our Private Wealth Management business. The position offers an opportunity to gain broad exposure to compliance functions while building expertise in AML and financial crimes prevention.
Regulatory & Compliance Support
- Support the execution of key requirements of existing Private Wealth Management compliance programs and AML Program.
- Assist with compliance testing, surveillance, and monitoring programs related to private wealth management activities.
- Review and track marketing and client communications for compliance with FINRA and SEC rules.
- 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.
- Perform ongoing monitoring of account activity to detect suspicious transactions or red flags.
- Review and investigate alerts generated by transaction monitoring systems; escalate findings as appropriate.
- Assist in the preparation and filing of Suspicious Activity Reports (SARs) and other regulatory reports (e.g., CTRs).
- Maintain and update AML records and documentation to ensure audit readiness.
Other
- Provide guidance to front office and operations teams on AML requirements and firm procedures.
- Assist in the development and delivery of AML training materials for employees.
- Stay informed on regulatory changes and industry best practices; contribute to enhancing internal policies and procedures.
- Ensure advertisements, promotional content, and communications adhere to relevant regulatory guidelines.
- Collaborate with marketing teams to review and approve content before distribution to ensure regulatory and policy alignment.
- Participate in the development and execution of PWM 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, AML, or financial crimes experience in a broker-dealer, registered investment adviser, private wealth management firm, or financial institution.
- Familiarity with the Bank Secrecy Act (BSA), USA PATRIOT Act, OFAC, FINRA, and SEC AML requirements.
- 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.
#LI-CH1
#LI-Hybrid
A reasonable estimate of the current base salary range at time of posting is below. Base salary does not include other forms of compensation or benefits. Actual base salary within the specified range is based on several factors, including but not limited to applicant's skills, prior relevant experience, specific degrees and certifications, job responsibilities, market considerations and, if applicable, the location of the position.
This role is eligible for either a discretionary annual bonus (based on company, business unit and individual performance) and/or commission-based incentives.
Our featured benefit offerings include medical, dental and vision coverage, employer paid short & long-term disability and life insurance, 401(k), profit sharing, paid time off, Maven family & fertility benefit, parental leave (including adoption, surrogacy, and foster placement), as well as other voluntary benefits.
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.
