CRU Risk Associate I: Compliance & Risk Analytics

Socket.dev; Chicago (IL); On-site; USD 60,000 - 85,000; Full time

Benefits offered by this job

Medical insurance

Dental insurance

Vision insurance

Disability insurance

Life insurance

401(k) and profit sharing

Paid time off

Parental leave

Maven family & fertility benefit

Job summary

William Blair's CRU Risk team seeks an Associate I to support supervisory, compliance, operational and reputational risk functions within Private Wealth Management. You'll collaborate with Risk, Compliance, Legal, Operations, Technology, and business colleagues to maintain a strong control environment and adhere to laws and internal policies.

You will assist with risk analytics, inquiries, audits, onboarding of Wealth Advisor recruits, and use approved technology and AI-enabled tools to improve

Qualifications

• Bachelor's degree or equivalent education/experience
• 1 year of relevant experience
• SIE Exam, Series 7 and 66 preferred; SIE exam and Series 7, 66 completed within 120 days
• Series 9 & 10 licenses preferred
• Basic knowledge of SEC, FINRA and Firm Compliance Policies
• Effective written and verbal communication skills
• Strong attention to detail
• Ability to prioritize and identify complex problems and escalation as necessary
• Basic analytical capabilities
• Ability to interact with Wealth Advisors and clients

Responsibilities

• Learn supervisory, compliance, risk responsibilities for home office and branches
• Monitor progress of inquiries requiring escalation
• Adhere to business ethics and regulatory practices
• Assist with supervisory approvals and timely handling
• Respond to inquiries about PWM policies and regulations
• Collaborate with Legal and Compliance on complaints and litigation
• Support audits and address findings
• Learn to monitor people risk and escalation process
• Handle confidential information with utmost care
• Learn risk review and onboarding of Wealth Advisor recruits
• Assist in gathering, validating, and analyzing supervisory data for risks and improvements
• Use approved technology, automation, and AI-enabled tools to improve processes
• Partner with Risk, Legal, Compliance, Operations, Technology on investigations and actions
• Additional responsibilities as requested

Skills

Communication skills

Attention to detail

Discretion

Problem solving

Work ethic

Interpersonal skills

Ability to learn

Education

Bachelor's degree or equivalent

Job description

William Blair's CRU Risk team seeks an Associate I to support supervisory, compliance, operational and reputational risk functions within Private Wealth Management. You'll collaborate with Risk, Compliance, Legal, Operations, Technology, and business colleagues to maintain a strong control environment and adhere to laws and internal policies.

You will assist with risk analytics, inquiries, audits, onboarding of Wealth Advisor recruits, and use approved technology and AI-enabled tools to improve