Risk & Compliance Associate I - Growth & Impact

William Blair; 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)

Profit sharing

Paid time off

Maven family & fertility benefit

Parental leave

Job summary

William Blair invites applications for the Associate I, CRU Risk role in Chicago. You will develop foundational knowledge across risk, supervisory, compliance, operational, and reputational functions, supporting a consistent control environment with ethics and regulatory adherence.

You will assist with risk analytics, data gathering, and use of approved tools; collaborate with Risk, Legal, Compliance, Operations, and Technology; participate in audits and investigations; and contribute to process

Qualifications

• Bachelor’s degree or equivalent education or experience.
• 1 year of related experience preferred.
• SIE exam, Series 7 and 66 preferred; must complete within 120 days for new US hires.
• 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.

Responsibilities

• Learn and understand responsibilities related to risk, supervisory, and compliance functions for home office and branch locations.
• Monitor progress of supervisory 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 customer complaints and litigation.
• Provide support for audits and remediate findings as needed.
• Learn to monitor people risk and escalation processes.
• Handle confidential information with utmost care.
• Assist in risk review and onboarding of Wealth Advisor recruits.
• Gather, validate, and analyze supervisory data to identify exceptions and risks.
• Utilize approved technology, automation, and AI-enabled tools to improve processes.
• Partner with Risk, Legal, Compliance, Operations, Technology for investigations and initiatives.

Skills

Written communication

Verbal communication

Attention to detail

Prioritization

Problem escalation

Analytical thinking

Team collaboration

Interpersonal skills

Education

Bachelor’s degree or equivalent

Tools

SIE, Series 7, 66 licenses

Series 9 & 10 licenses

Job description

William Blair invites applications for the Associate I, CRU Risk role in Chicago. You will develop foundational knowledge across risk, supervisory, compliance, operational, and reputational functions, supporting a consistent control environment with ethics and regulatory adherence.

You will assist with risk analytics, data gathering, and use of approved tools; collaborate with Risk, Legal, Compliance, Operations, and Technology; participate in audits and investigations; and contribute to process