Senior Compliance Officer - Equities

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William Blair and Company, L.L.C. (William Blair) is seeking to add a Senior Compliance Officer to its dynamic Legal & Compliance team supporting Equity Capital Markets and Equities (Sales and Trading, and Research). 

As a Senior Compliance Officer – Equities, you will be a strategic partner to key stakeholders within our Equity Capital Markets and Equities teams (Sales & Trading, Research), providing expert compliance guidance and ensuring seamless adherence to all regulatory requirements. You will play an integral role in shaping compliance programs, overseeing trade-related activities, and monitoring market behavior to ensure full alignment with internal policies and external regulations.

In this hands-on role, you will proactively address compliance matters, ensuring the smooth running of day-to-day operations while mitigating any potential risks. You'll also be called upon to provide timely support for urgent matters outside of regular market hours when necessary. We are looking for a highly motivated professional who thrives in a dynamic, fast-paced environment and is eager to collaborate with internal teams to maintain the highest standards of compliance. Your expertise in equity capital markets, trading, and research compliance will be key in helping the business navigate the complexities of today’s regulatory landscape.

Key Responsibilities:

Compliance Advisory Services:

• Provide day-to-day compliance advisory support to internal stakeholders, including traders and sales traders, to ensure compliance with relevant laws and regulations (e.g., Information Barriers, Conflicts of Interest, Handling of Material Non-public Information, and Personal Trading).
• Provide expert guidance on regulatory rules and standards such as Reg NMS, Reg SHO, OATS, Rule 5320, trade reporting, and Rule 605/606.

Monitoring and Testing:

• Perform ongoing monitoring, testing, and assessment of order handling, execution, trade reporting, and market surveillance to ensure compliance with relevant requirements.
• Conduct regular monitoring and testing of communications and capital markets activities to ensure compliance with applicable regulations.

Research Reports Review:

• Review research reports before publication to ensure all statements are substantiated and that the content is free from any material that could be construed as insider trading.
• Ensure that all research reports include appropriate disclosures concerning potential conflicts of interest or any other relevant legal information.

Marketing Material Compliance:

• Review and approve marketing materials related to Equities lines of business to ensure compliance with applicable regulatory requirements.

Policy and Procedure Coordination:

• Coordinate the development, review, and updating of compliance policies, procedures, and processes to ensure alignment with current business practices and evolving regulatory changes.

Regulatory Interaction:

• Act as the primary point of contact between the firm and regulatory bodies, including reporting suspicious activities and responding to regulatory inquiries related to the Equities business.
• Collaborate with other Legal and Compliance team members to manage regulatory exams, investigations, and inquiries.

Global Regulatory Awareness:

• Stay informed about both local and global regulatory developments affecting the Equities business and ensure that the firm’s policies and programs adhere to applicable securities laws and regulations.

Training and Development:

• Conduct regular compliance training for employees to reinforce the understanding of regulatory requirements and the importance of compliance within the Equities business.

Qualifications:

• Bachelor's degree in Business, Finance, Law, or a related field (advanced degree or relevant certification is a plus).
• Minimum of 15 years of experience in compliance, legal, or regulatory roles within the financial services industry, with a focus on equity capital markets, sales and trading, and research.
• Strong understanding of securities laws, regulations, and industry best practices, including Reg NMS, Reg SHO, OATS, Rule 5320, and Rule 605/606.
• Must hold SIE, the Series 7 and 24 and 63 licenses, or obtain in 180 days.
• High level of experience with market surveillance and trade reporting requirements.
• Ability to analyze complex regulatory requirements and apply them to business operations.
• Excellent communication and interpersonal skills, with the ability to work effectively with a range of internal stakeholders and external regulatory bodies.
• Proven ability to manage multiple projects and competing priorities in a fast-paced environment.
• Detail-oriented, with strong problem-solving and analytical skills.

Desired Attributes:

• Self-motivated and proactive in identifying compliance risks and implementing solutions.
• Ability to work effectively both independently and as part of a collaborative team.
• Strong understanding of the regulatory environment affecting the financial markets and ability to anticipate changes in regulations.

Working Conditions:

• This position may require regular travel to various branch offices, meetings with regulatory bodies, industry conferences, or training purposes.
• Flexible working hours may be required to address time-sensitive regulatory matters.
• Expected to come into the office 3 days per week.

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.  

Salary Range$190,000—$260,000 USD

 

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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