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 acti