Associate I, CRU Risk
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Overview
Job Description
Solutions for Today’s Challenges. Vision for Tomorrow’s Opportunities.
Join William Blair, the Premier Global Partnership.
The Associate I, CRU Risk is responsible for developing foundational knowledge of supervisory, compliance, operational, reputational, and other risk functions. In conjunction with Risk, Compliance, Legal, Operations, Technology, and business colleagues, the Associate I supports a consistent control environment through adherence to business ethics and practices, all applicable Federal, State and Local laws, William Blair’s Private Wealth Management ("PWM") policies, and other regulations. The role also supports risk analytics, trend monitoring, and the appropriate use of approved technology and automation tools to improve supervisory effectiveness and consistency.
Essential Responsibilities:
- Learn and understand responsibilities related to all risk, supervisory, and compliance functions for home office and branch location(s).
- Monitor progress of any supervisory inquiry or process that requires escalation of review.
- Develop a sound understanding of and adhere to business ethics and regulatory and compliance practices.
- Assist with ensuring that supervisory approvals are handled appropriately and timely.
- Reply to inquiries related to William Blair’s Private Wealth Management policies and other regulations.
- Collaborate with the Legal and Compliance Department for customer complaints and litigation.
- Provide support in response to audits, and ensure that any audit findings are appropriately responded to and remediated.
- Learn how to monitor people risk, and the process for escalating concerns to management.
- Handle and maintain confidential information with utmost care.
- Learn how to perform the risk review and onboarding of Wealth Advisor recruits. Ensure full understanding of the process and tasks involved.
- Assist in gathering, validating, and analyzing supervisory data to identify exceptions, emerging risks, trends, and opportunities for process improvement.
- Use approved technology, automation, and AI-enabled tools to improve the efficiency, consistency, and effectiveness of supervisory processes.
- Partner with Risk, Legal, Compliance, Operations, Technology, and business colleagues to support investigations, corrective actions, and strategic initiatives.
- Additional responsibilities as requested
Qualifications:
- Bachelor's degree required, or equivalent education or experience
- A minimum of 1 year of previous experience required in a related role or field.
- SIE Exam, Series 7 and 66 preferred; SIE exam and Series 7, 66 will need to be completed within 120 days (new hires - post 10/1/2018, for US only)
- Series 9 & 10 licenses preferred
- Basic knowledge of SEC, FINRA and Firm Compliance Policies and Procedures
- Effective written and verbal communication skills
- Strong attention to detail
- Ability to prioritize and identify complex problems and escalate as necessary
- Basic analytical capabilities
- Ability to organize and prioritize workflow and assignments in a deadline-oriented environment
- Ability to interact with Wealth Advisors and clients
- Excellent judgment and the ability to be discreet in all matters
- Strong work ethic
- Ability to learn and effectively use approved supervisory technology, data analytics, automation, and AI-enabled tools.
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