Compliance Analyst – Trade Surveillance at William Blair

Job description

Solutions for Today’s Challenges. Vision for Tomorrow’s Opportunities. Join William Blair, the Premier Global Partnership. William Blair is seeking a detail-oriented and highly motivated Compliance Analyst to support the firm’s trade surveillance and anti-money laundering (AML) programs across its broker-dealer and market-making operations. This role is responsible for monitoring trading activity, conducting investigations, regulatory reporting, and escalating potential violations of securities laws, FINRA and SEC rules, AML requirements, and internal policies. This position operates with a high degree of independence and is expected to exercise sound judgment in identifying and escalating issues, recommend enhancements to controls and surveillance processes, and serve as a key resource to Trading, Operations, Risk Management, Legal, and Compliance. The team currently operates in a hybrid working model, with three days a week required to be in the office. Responsibilities include but may not be limited to: Support key requirements of the firm’s Equity Capital Markets, equities, and AML compliance programs. Perform compliance testing, surveillance, and monitoring for the ECM and equities business lines. Conduct surveillance reviews of equity and market-making activity for potential market abuse, including spoofing, layering, wash trading, marking the open or close, front-running, excessive trading, insider trading, short-sale violations, market-access, and best-execution concerns. Review surveillance alerts and investigate potential market-conduct concerns and trading irregularities. Analyze trading patterns using surveillance platforms, order management systems, CAT data, and market data. Document reviews, investigations, and findings, and escalate potential regulatory violations to Compliance management and Legal. Help enhance and calibrate surveillance scenarios to improve effectiveness and reduce false positives. Review customer transactions, cash movements, wire transfers, account behavior, and exception reports for indicators of money laundering, fraud, suspicious activity, or other financial crime risks. Conduct AML investigations using customer due diligence, transactional analysis, and external research, and prepare well-supported case files. Determine whether activity warrants possible SAR filing, draft clear and fact-based SAR narratives, and track reporting deadlines. Prepare surveillance and AML metrics for Compliance management and senior leadership. Identify emerging regulatory risks and control gaps, and recommend enhancements to policies, controls, and monitoring processes. Provide guidance to front-office and Operations teams on surveillance, AML requirements, and firm procedures. Help develop and deliver compliance training on applicable regulatory obligations. Assist with regulatory examinations, inquiries, audits, and remediation efforts. Support updates to Written Supervisory Procedures, AML policies, and surveillance procedures. Additional responsibilities as needed. Qualifications: Bachelor’s degree in finance, business, economics, or a related field. 3–6 years of relevant experience in compliance, trade surveillance, AML, or broker-dealer operations. Strong knowledge of securities trading, equity market structure, and market-making activities. Strong understanding of applicable FINRA and SEC trading regulations. Experience reviewing and investigating surveillance alerts. Strong analytical and problem-solving skills, with sound judgment in identifying and escalating issues. Excellent written and verbal communication skills. Advanced Excel skills; familiarity with Power BI or other data visualization tools is a plus. Experience in an institutional broker-dealer, market-making, and Equity Capital Markets trading environment. Experience with trade surveillance and AML monitoring platforms preferred; familiarity with Abel Noser or Trading Technologies is a plus. Experience supporting SEC or FINRA examinations. FINRA Series 7, 24, or 99 registrations and CAMS certification are preferred, as applicable. Detail-oriented and organized, with the ability to manage multiple priorities in a fast-paced environment. Collaborative, proactive, intellectually curious, and comfortable working independently. Demonstrated commitment to compliance, integrity, and ownership of assignments. #LI-CH #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. Salary Range $100,000 — $115,000 USD About Our Firm William Blair strives to attract qualified candidates who specialize in investment banking, investment management, private wealth management, and other strategic resource groups. We are committed to empowering our colleagues to deliver client success and engage in our communities. Our firm has delivered trusted advice for nine decades, continuing to deepen our expertise and relationships across asset classes and markets throughout North America, Europe, and Asia. We provide advisory services, strategies, and solutions to meet clients’ evolving needs amid dynamic market conditions and varying industries. What sets us apart is that we are an independent partnership, with colleagues who have unique experiences, perspectives, and backgrounds. We empower our people to bring their best thinking so we can deliver the tailored, thoughtful work and problem-solving abilities that our clients expect. We invite you to learn more about us by visiting williamblair.com . 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.

Requirements

Must-haves

Solutions for Today’s Challenges. Vision for Tomorrow’s Opportunities.
Join William Blair, the Premier Global Partnership.
Responsibilities include but may not be limited to:
Support key requirements of the firm’s Equity Capital Markets, equities, and AML compliance programs.
Perform compliance testing, surveillance, and monitoring for the ECM and equities business lines.
Review surveillance alerts and investigate potential market-conduct concerns and trading irregularities.
Analyze trading patterns using surveillance platforms, order management systems, CAT data, and market data.
Document reviews, investigations, and findings, and escalate potential regulatory violations to Compliance management and Legal.
Help enhance and calibrate surveillance scenarios to improve effectiveness and reduce false positives.
Review customer transactions, cash movements, wire transfers, account behavior, and exception reports for indicators of money laundering, fraud, suspicious activity, or other financial crime risks.
Conduct AML investigations using customer due diligence, transactional analysis, and external research, and prepare well-supported case files.
Determine whether activity warrants possible SAR filing, draft clear and fact-based SAR narratives, and track reporting deadlines.
Prepare surveillance and AML metrics for Compliance management and senior leadership.
Identify emerging regulatory risks and control gaps, and recommend enhancements to policies, controls, and monitoring processes.
Provide guidance to front-office and Operations teams on surveillance, AML requirements, and firm procedures.
Help develop and deliver compliance training on applicable regulatory obligations.
Assist with regulatory examinations, inquiries, audits, and remediation efforts.
Support updates to Written Supervisory Procedures, AML policies, and surveillance procedures.
Additional responsibilities as needed.
Bachelor’s degree in finance, business, economics, or a related field.
3–6 years of relevant experience in compliance, trade surveillance, AML, or broker-dealer operations.

Nice-to-haves

Advanced Excel skills; familiarity with Power BI or other data visualization tools is a plus.
Experience with trade surveillance and AML monitoring platforms preferred; familiarity with Abel Noser or Trading Technologies is a plus.
FINRA Series 7, 24, or 99 registrations and CAMS certification are preferred, as applicable.

Application prep

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Benefits

Benefits detected in the listing.

Dental

Vision

401(K)

Paid Time Off

Parental Leave