CRU Risk Associate I — Build Compliance & Analytics

William Blair; San Francisco (CA); On-site; USD 76,000 - 98,000; Full time

Benefits offered by this job

Medical, dental & vision

Disability & life insurance

401(k) and profit sharing

Paid time off

Maven family & fertility

Parental leave

Job summary

William Blair in San Francisco seeks an Associate I, CRU Risk to contribute to supervisory, compliance, operational, and reputational risk efforts. You will collaborate with Risk, Compliance, Legal, Operations, Technology, and business colleagues to uphold ethics and regulatory standards across PWM.

This role supports risk analytics, trend monitoring, and the use of approved technology and automation tools to boost supervisory effectiveness.

Qualifications

• Bachelor's degree or equivalent education/experience.
• 1 year of related experience required.
• SIE, Series 7, 66 preferred; completion within 120 days.

Responsibilities

• Learn and understand responsibilities related to risk, supervisory, and compliance functions.
• Monitor progress of supervisory inquiries requiring escalation.
• Adhere to business ethics and regulatory practices.
• Assist with supervisory approvals handling.
• Reply to inquiries about PWM policies and regulations.
• Collaborate with Legal and Compliance for complaints and litigation.
• Support audits and remediate findings.
• Learn to monitor people risk and escalation processes.
• Handle confidential information with utmost care.
• Learn risk review and onboarding of Wealth Advisor recruits.
• Gather, validate, and analyze supervisory data for risks/trends.
• Use approved tech, automation, and AI tools to improve processes.
• Partner with Risk, Legal, Compliance, Operations, Technology, and business teams to support investigations.
• Additional responsibilities as requested.

Skills

SIE Exam

Series 7

Series 66

Series 9/10

SEC Knowledge

Communication skills

Attention to detail

Analytical thinking

Time management

Discretion

Education

Bachelor's degree

Tools

Risk analytics tools

Job description

William Blair in San Francisco seeks an Associate I, CRU Risk to contribute to supervisory, compliance, operational, and reputational risk efforts. You will collaborate with Risk, Compliance, Legal, Operations, Technology, and business colleagues to uphold ethics and regulatory standards across PWM.

This role supports risk analytics, trend monitoring, and the use of approved technology and automation tools to boost supervisory effectiveness.