Careers

Compliance Examiner - Investment Advisor

Areas of Interest:

Legal & Compliance

Location:

Chicago, Illinois

Date Posted:

Feb-13-2018

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Company Description:

William Blair is a global investment banking and asset management firm. We are committed to building enduring relationships with our clients and providing expertise and solutions to meet their evolving needs. An independent and employee-owned firm, William Blair is based in Chicago, with offices in 18 cities across four continents. For more information, please visit williamblair.com.

Job Summary & Responsibilities:

As a member of the Legal & Compliance team, assist in the development, maintenance and oversight of the investment management regulatory compliance programs.  Areas of responsibility include, among others:

  • Assist Chief Compliance Officer in administering and testing of compliance policies and procedures, including transactional and forensic testing. 
  • Perform control and monitoring functions, including the review of investment guidelines and restrictions.  Assist in the identification of potential compliance violations and recommend enhancements. 
  • Assist with the review, update and filing of required regulatory filings (e.g., Section 13, Foreign Ownership, Form ADV, Form PF, CPO-PQR, CTA-PR, etc.) 
  • Review investment adviser, mutual fund and other marketing materials and communications (including electronic communications) for compliance with applicable rules and to ensure best practices.  
  • Analyze and prepare responses to compliance inquiries from prospects, clients, and regulators; respond to recurring and ad hoc client due diligence questionnaires and reporting requests.
  • Assist with administration and monitoring of activities under the Code of Ethics.
  • Manage and/or participate in special projects, as assigned.

Qualifications:

  • Bachelor’s degree required
  • Minimum of three years’ experience (five to seven years preferred) involving compliance for  registered investment advisers and registered investment companies
  • Previous experience involving compliance for NFA/CFTC registered entities and private funds a plus   
  • Series 7, 24 and 66 (or 63 and 65) registrations required or must be promptly obtained
  • Strong interest in the investment management and mutual fund industry
  • Understanding of federal and state regulations applicable to investment advisers
  • Understanding of investment adviser products and operations
  • Strong conceptual and critical thinking skills
  • Ability to accurately and concisely summarize complex information
  • Strong written and oral communication skills
  • Ability to cooperate in a team environment

As a William Blair associate, you’ll enjoy Medical, Dental, Life and AD&D Insurance, along with a generous profit sharing program that includes a 401K plan in addition to a firm contribution. We also offer three weeks of vacation, flexible spending accounts, a business casual dress code, a 75% discounted commissions on trades, and discounts at restaurants, museums, parks and retailers.

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.

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