What are the responsibilities and job description for the Compliance Coordinator position at William Blair?
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Join William Blair, the Premier Global Partnership.
William Blair Investment Management, LLC (“WBIM”) is seeking a highly motivated and organized Compliance Coordinator to join a dedicated team that operates under a culture that promotes teamwork and collaboration. The Compliance Coordinator will primarily support the investment management compliance team and will perform both administrative and compliance activities in support of the existing WBIM Compliance team to assure compliance with regulatory requirements, such as the Investment Advisers Act of 1940 and Investment Company Act of 1940.
The team currently operates in a hybrid working model, with 3 days a week required to be in the office at our downtown Chicago headquarters.
Responsibilities Include But May Not Be Limited To
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
$53,400—$72,000 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
Join William Blair, the Premier Global Partnership.
William Blair Investment Management, LLC (“WBIM”) is seeking a highly motivated and organized Compliance Coordinator to join a dedicated team that operates under a culture that promotes teamwork and collaboration. The Compliance Coordinator will primarily support the investment management compliance team and will perform both administrative and compliance activities in support of the existing WBIM Compliance team to assure compliance with regulatory requirements, such as the Investment Advisers Act of 1940 and Investment Company Act of 1940.
The team currently operates in a hybrid working model, with 3 days a week required to be in the office at our downtown Chicago headquarters.
Responsibilities Include But May Not Be Limited To
- Maintain WBIM restricted lists in MyComplianceOffice and LineData Compliance systems
- Coordinate and document new hire compliance training and the annual compliance training program for WBIM employees
- Conduct employee email surveillance in Global Relay (email archiving platform)
- Responsible for organizing and gathering materials for various internal compliance team meetings and governance committee meetings
- Assist with invoice processing in connection with various regulatory filings
- Assist the compliance team with inquiries from internal reviews (internal or external audit) and external regulators, as required in connection with audits and regulatory examinations
- Assist with annual compliance testing and follow up on corrective actions to address identified compliance issues
- Assist with client reporting, as needed
- Serve as a resource for employees to address compliance concerns or questions
- Participate in other team and/or firm projects, as requested.
- Bachelor’s degree preferred
- Investment management compliance experience preferred
- Familiarity with industry-specific regulations is a plus or willingness to learn and understand the federal and state regulations applicable to investment advisers
- Effective communication and interpersonal skills that contribute to a collaborative environment
- Superior attention to detail and follow-through
- Strong analytical and problem-solving skills
- Excellent organizational and time-management skills
- Ability to multitask and manage priorities effectively
- Ability to operate with a proactive mindset, work independently and meet deadlines
- Proficiency in Microsoft Office suite
- Experience with the Microsoft Power Platform (especially Power BI and Power Automate) is a plus
- Industry licensing is not required for this position, but it will be an option for future professional growth.
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
$53,400—$72,000 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)
Salary : $53,400 - $72,000