Hybrid Trade Surveillance & AML Analyst

William Blair; Chicago (IL); Hybrid; USD 100.000 - 115.000; Vollzeit

Benefits dieser Stelle

Medical insurance

Dental insurance

Vision insurance

Disability insurance

Life insurance

401(k)

Profit sharing

Paid time off

Maven family & fertility benefit

Parental leave

Zusammenfassung

William Blair is seeking a detail-oriented Compliance Analyst to support its trade surveillance and AML programs across broker-dealer and market-making operations. The role requires independent judgment and collaboration with Trading, Operations, Risk Management, Legal, and Compliance.

The position follows a hybrid model with three days in the office. It offers opportunities to enhance controls, calibrate surveillance, and prepare regulatory reporting and SAR narratives while supporting

Qualifikationen

• Bachelor's degree in finance, business, economics, or a related field.
• 3–6 years of compliance, trade surveillance, AML, or broker-dealer operations experience.
• Strong knowledge of securities trading, equity market structure, and market-making activities.
• Understanding of FINRA and SEC trading regulations.
• Experience reviewing and investigating surveillance alerts.
• Excellent written and verbal communication skills.

Aufgaben

• Support ECM, equities, and AML compliance programs.
• Perform surveillance, testing, and monitoring for ECM and equities.
• Review surveillance alerts and investigate market-conduct concerns.
• Analyze trading patterns using surveillance platforms and market data.
• Document reviews and escalate regulatory concerns to Compliance/Legal.
• Help calibrate surveillance scenarios to reduce false positives.
• Review transactions, cash movements, wire transfers, and account behavior for AML indicators.
• Conduct AML investigations and draft case files.
• Draft SAR narratives and track reporting deadlines.
• Prepare surveillance and AML metrics for leadership.
• Identify regulatory risks and recommend policy improvements.
• Provide guidance to front-office and Operations on AML requirements.
• Assist with regulatory examinations, inquiries, and remediation.
• Support updates to Written Supervisory Procedures and AML policies.

Kenntnisse

Analytical skills

Problem-solving

Communication skills

Independent judgment

Collaboration

Ausbildung

Bachelor's degree in finance or related field

Tools

Excel

Power BI

CAT data systems

Abel Noser

Trading Technologies

Jobbeschreibung

William Blair is seeking a detail-oriented Compliance Analyst to support its trade surveillance and AML programs across broker-dealer and market-making operations. The role requires independent judgment and collaboration with Trading, Operations, Risk Management, Legal, and Compliance.

The position follows a hybrid model with three days in the office. It offers opportunities to enhance controls, calibrate surveillance, and prepare regulatory reporting and SAR narratives while supporting