CRU Risk Associate: Compliance & Analytics

William Blair; New York (NY); On-site; USD 66,000 - 90,000; Full time

Benefits offered by this job

Medical, dental and vision coverage

Employer paid disability insurance

Life insurance

401(k)

Profit sharing

Paid time off

Maven family & fertility benefits

Parental leave

Job summary

William Blair seeks an Associate I, CRU Risk in New York to help support supervisory, compliance, operational and reputational risk functions. You will work with Risk, Compliance, Legal, Operations and Technology to maintain a strong control environment and leverage AI-enabled tools to improve processes.

Responsibilities include monitoring inquiries, ensuring ethical practices, supporting audits, and assisting with onboarding of Wealth Advisor recruits.

Qualifications

• 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 completed within 120 days (US).
• 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 elevate 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.

Responsibilities

• Learn and understand risks, supervisory, and compliance functions for home office and branch locations.
• Monitor progress of supervisory inquiries or processes requiring escalation.
• Develop understanding of business ethics and regulatory practices.
• Assist with ensuring supervisory approvals are handled appropriately and timely.
• Reply to inquiries related to PWM policies and regulations.
• Collaborate with Legal and Compliance for customer complaints and litigation.
• Provide support in audits and ensure remediation of findings.
• Learn to monitor people risk and escalate concerns to management.
• Handle and maintain confidential information with utmost care.
• Learn risk review and onboarding of Wealth Advisor recruits.
• Assist in gathering, validating, and analyzing supervisory data for trends and improvements.
• Use approved technology, automation, and AI tools to enhance processes.
• Partner with Risk, Legal, Compliance, Operations, Technology, and business colleagues on investigations and actions.
• Additional responsibilities as requested.

Skills

Analytical thinking

Attention to detail

Effective communication

Prioritization

Education

Bachelor's degree or equivalent

Tools

SIE

Series 7

Series 66

Series 9

Series 10

Job description

William Blair seeks an Associate I, CRU Risk in New York to help support supervisory, compliance, operational and reputational risk functions. You will work with Risk, Compliance, Legal, Operations and Technology to maintain a strong control environment and leverage AI-enabled tools to improve processes.

Responsibilities include monitoring inquiries, ensuring ethical practices, supporting audits, and assisting with onboarding of Wealth Advisor recruits.