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About the Role
The Associate I, CRU Risk is responsible for developing foundational knowledge of supervisory, compliance, operational, reputational, and other risk functions. The role supports a consistent control environment through adherence to business ethics, applicable laws, and William Blair’s Private Wealth Management policies. It also supports risk analytics, trend monitoring, and the use of technology and automation to improve supervisory effectiveness.
Responsibilities
- Learn and understand responsibilities related to all risk, supervisory, and compliance functions.
- Monitor progress of any supervisory inquiry or process requiring escalation.
- Develop a sound understanding of and adhere to business ethics and regulatory and compliance practices.
- Assist with ensuring supervisory approvals are handled appropriately and timely.
- Reply to inquiries related to William Blair’s Private Wealth Management policies and other regulations.
- Collaborate with the Legal and Compliance Department for customer complaints and litigation.
- Provide support in response to audits and ensure findings are appropriately responded to and remediated.
- Learn how to monitor people risk and escalate concerns to management.
- Handle and maintain confidential information with utmost care.
- Learn how to perform the risk review and onboarding of Wealth Advisor recruits.
- Assist in gathering, validating, and analyzing supervisory data to identify exceptions, emerging risks, trends, and opportunities for process improvement.
- Use approved technology, automation, and AI-enabled tools to improve the efficiency, consistency, and effectiveness of supervisory processes.
- Partner with Risk, Legal, Compliance, Operations, Technology, and business colleagues to support investigations, corrective actions, and strategic initiatives.
- Perform additional responsibilities as requested.
Requirements
- Bachelor's degree required, or equivalent education or experience.
- A minimum of 1 year of previous experience required in a related role or field.
- SIE Exam, Series 7 and 66 preferred; SIE exam and Series 7, 66 will need to be completed within 120 days (new hires - post 10/1/2018, for US only).
- Series 9 & 10 licenses preferred.
- Basic knowledge of SEC, FINRA and Firm Compliance Policies and Procedures.
- Effective written and verbal communication skills.
- Strong attention to detail.
- Ability to prioritize and identify complex problems and escalate as necessary.
- Basic analytical capabilities.
- Ability to organize and prioritize workflow and assignments in a deadline-oriented environment.
- Ability to interact with Wealth Advisors and clients.
- Excellent judgment and the ability to be discreet in all matters.
- Strong work ethic.
- Ability to learn and effectively use approved supervisory technology, data analytics, automation, and AI-enabled tools.
Skills
- Risk management
- Compliance
- Supervisory functions
- Operational risk
- Reputational risk
- Business ethics
- Regulatory adherence
- Private Wealth Management policies
- Risk analytics
- Trend monitoring
- Technology utilization
- Automation tools
- Communication skills
- Attention to detail
- Problem identification and escalation
- Analytical capabilities
- Workflow organization
- Client interaction
- Judgment
- Discretion
- Work ethic
- Data analytics
- AI-enabled tools
Location
- Home office
- Branch location(s)
Work Type
- Full-time
Experience Level
- Associate
- 1 year of previous experience
Education Level
- Bachelor's degree
- Equivalent education or experience
Salary/Compensations
- $76,000—$98,000 USD
Benefits
- 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)
- Other voluntary benefits
- Discretionary annual bonus
- Commission-based incentives
About the Company
- 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.
- 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.
- Visit williamblair.com to learn more about us.
Equal Opportunity
- 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