Central Compliance Associate
William Blair
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William Blair and Company, L.L.C. is seeking a motivated and detail‑oriented Associate to join its Central Compliance Control Room function. This role supports the management of material non‑public information (MNPI), conflicts of interest, and employee trading risk in real time, partnering closely with senior Compliance leadership and key stakeholders across investment banking, research, trading, and related business areas.
The Central Compliance Associate plays a critical role in executing Control Room processes, providing time‑sensitive compliance guidance, and supporting escalation of complex or high‑risk matters. This position offers meaningful exposure to live transactions and requires sound judgment, strong communication skills, and the ability to operate effectively in a fast‑paced environment.
Responsibilities include but are not limited to:
MNPI & Conflicts Management
- Maintain and administer the firm’s Restricted and Watch Lists to manage MNPI exposure across business lines
- Coordinate and document wall crossings, chaperone calls, and information‑barrier controls
- Review deal‑related, research, and transactional materials for MNPI and conflicts considerations
- Administer the firm’s conflicts management processes, including routing approvals and maintaining documentation
- Escalate potential conflicts or high‑risk matters to senior Compliance leadership as appropriate
Employee Trading Oversight
- Review employee personal securities transactions in accordance with firm policy and regulatory requirements, and approve or escalate under supervisory guidance
- Monitor employee trading alerts and support investigations into potential conflicts or insider trading risks
- Coordinate with Compliance managers and firm supervisors on employee trading inquiries and escalations
Real‑Time Advisory & Escalations
- Provide time‑sensitive compliance advisory support on live deals, research publications, and trading activity
- Serve as an escalation point for urgent MNPI, conflicts, and employee trading matters in collaboration with senior Compliance leadership
- Provide after‑hours coverage for critical Control Room matters, as required
Governance, Documentation & Exam Readiness
- Maintain, review, and update compliance policies and procedures to reflect regulatory requirements and business practices
- Document Control Room decisions, approvals, and escalations with clear and complete records
- Conduct e‑communications surveillance and support eDiscovery related to regulatory and legal matters
- Partner across Compliance on policy interpretation, surveillance enhancements, and regulatory responses
- Support regulatory exams, audits, and internal reviews related to MNPI, conflicts, and employee trading controls
Qualifications
Required
- Bachelor’s degree required; JD or advanced degree a plus
- 3–6 years of experience in a Control Room, transactional compliance, capital markets compliance, or investment banking advisory environment
- Demonstrate experience supporting MNPI, conflicts of interest, Restricted and Watch Lists, and wall‑crossing processes
- Apply a strong understanding of securities laws and regulations related to insider trading, conflicts of interest, and employee trading
- Demonstrated ability to exercise sound judgment under time pressure while handling highly sensitive information
- Communicate clearly in writing and verbally, with an emphasis on thorough documentation
Preferred
- Administer workflows in MyComplianceOffice (MCO)
- Review employee personal securities transactions
- Support regulatory exams or audits
- Operate independently on assigned matters while collaborating closely with senior Compliance leadership and business partners
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A reasonable estimate of the current base salary range at time of posting is below. Base salary does not include other forms of compensation or benefits. Actual base salary within the specified range is based on several factors, including but not limited to applicant's skills, prior relevant experience, specific degrees and certifications, job responsibilities, market considerations and, if applicable, the location of the position.
This role is eligible for either a discretionary annual bonus (based on company, business unit and individual performance) and/or commission-based incentives.
Our featured benefit offerings include medical, dental and vision coverage, employer paid short & long-term disability and life insurance, 401(k), profit sharing, paid time off, Maven family & fertility benefit, parental leave (including adoption, surrogacy, and foster placement), as well as other voluntary benefits.
About Our Firm
William Blair strives to attract qualified candidates who specialize in investment banking, investment management, private wealth management, and other strategic resource groups. We are committed to empowering our colleagues to deliver client success and engage in our communities. Our firm has delivered trusted advice for nine decades, continuing to deepen our expertise and relationships across asset classes and markets throughout North America, Europe, and Asia. We provide advisory services, strategies, and solutions to meet clients’ evolving needs amid dynamic market conditions and varying industries. What sets us apart is that we are an independent partnership, with colleagues who have unique experiences, perspectives, and backgrounds. We empower our people to bring their best thinking so we can deliver the tailored, thoughtful work and problem-solving abilities that our clients expect. We invite you to learn more about us by visiting williamblair.com.
William Blair is an equal opportunity employer. It complies with all laws and regulations that prohibit discrimination in employment practice because of race, color, religion, creed, ancestry, marital status, gender, age, national origin, sexual orientation, unfavorable discharge from the military service or on the basis of a physical or mental disability that is unrelated to the employee's ability to perform the duties of the job applied for. EOE m/f/d/v
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