Trade Surveillance & AML Compliance Analyst

williamblair; Chicago (IL); Hybrid; USD 70,000 - 95,000; Full time

Benefits offered by this job

Hybrid work model

In-office 3 days a week

Job summary

William Blair is seeking a detail-oriented Compliance Analyst to support trade surveillance, AML programs, and regulatory reporting across broker-dealer operations. You will monitor trading activity, investigate suspicious behavior, and escalate potential violations to Compliance and Legal.

The role emphasizes independence, strong judgment, and collaboration with Trading, Operations, Risk, and Legal teams. Hybrid work with three days in the office is required; ideal candidates hold a 3–6 year

Qualifications

• Bachelor's degree in finance, business, economics, or a related field is required.
• 3–6 years of relevant experience in compliance, trade surveillance, AML, or broker-dealer operations.
• Strong knowledge of securities trading, equity market structure, and market-making activities.
• Experience reviewing and investigating surveillance alerts and regulatory reporting is preferred.
• Excellent written and verbal communication skills and sound judgment in escalating issues.
• Advanced Excel skills; familiarity with Power BI or other data visualization tools is a plus.

Responsibilities

• Support the firm’s Equity Capital Markets, equities, and AML compliance programs.
• Perform compliance testing, surveillance, and monitoring for the ECM and equities business lines.
• Conduct surveillance reviews of equity and market-making activity for potential market abuse.
• Review surveillance alerts and investigate potential market-conduct concerns and trading irregularities.
• Analyze trading patterns using surveillance platforms, order management systems, CAT data, and market data.
• Document reviews, investigations, and findings, and escalate regulatory violations to Compliance and Legal.
• Help enhance surveillance scenarios to improve effectiveness and reduce false positives.
• Review customer transactions, cash movements, wire transfers, and account behavior for AML risks.
• Conduct AML investigations using customer due diligence and external research; prepare case files.
• Draft clear SAR narratives when warranted and track reporting deadlines.
• Prepare surveillance and AML metrics for Compliance management and leadership.
• Identify regulatory risks and recommend policy improvements.

Skills

Analytical skills

Communication skills

Attention to detail

Education

Bachelor's degree in finance, business, economics, or related field

Tools

Excel

Power BI

Abel Noser

Trading Technologies

Job description

William Blair is seeking a detail-oriented Compliance Analyst to support trade surveillance, AML programs, and regulatory reporting across broker-dealer operations. You will monitor trading activity, investigate suspicious behavior, and escalate potential violations to Compliance and Legal.

The role emphasizes independence, strong judgment, and collaboration with Trading, Operations, Risk, and Legal teams. Hybrid work with three days in the office is required; ideal candidates hold a 3–6 year