Compliance Analyst - Capital Markets Branch Oversight

Baird • Milwaukee, WI

19h

About The Position

About the Role: We’re seeking a Branch Oversight Analyst to support the oversight of branch and location review programs within Capital Markets Compliance. In this role, you’ll collaborate closely with the Branch Oversight Team Lead to complete annual location reviews, maintain accurate and complex records, and ensure compliance with regulatory requirements. Knowledge of FINRA Pilot Program rules is a plus, but if you’re eager to learn, we’ll help you build that expertise. This position is ideal for early- to mid-career professionals who enjoy problem-solving and thrive in a dynamic, evolving environment. You’ll join a team that values respect, inclusiveness, and diverse perspectives, with a strong emphasis on collaboration and connection across the firm. Compliance work is never routine, our expanding business and changing regulations mean every day brings new challenges and opportunities. You’ll have the freedom to be creative, share ideas, and help improve processes, all while working alongside approachable, highly knowledgeable professionals who are committed to your growth. The Impact You’ll Make: Work side-by-side with the Branch Oversight Team Lead to conduct, track, and create annual Capital Markets location reviews. Serve as a key point of contact, delivering exceptional support for our internal clients across 5 Capital Markets business lines. Continuously and promptly update location tracking logs to ensure an efficient review process. Assist in the development and application of a new location management tool. Attend meetings pertaining to the Capital Markets Compliance location reviews. Collaborate with other Units of Compliance such as Registration, Compliance Analytics, Private Wealth Management, and Personal Activities. Conduct virtual Teams walkthroughs, on-site reviews, and remote location reviews as needed. Travel to at least five different out-of-state locations annually. Stay up to date on the rules and regulations of FINRA’s Pilot Program. Attend specific annual in-house Compliance Roundtable sessions to collaborate with peer firms as well as virtual working groups. Perform other duties as assigned.

Requirements

• SIE and Series 7 are required within two years of hire; Series 24 and 66 are strongly recommended for future growth.
• Associate or bachelor’s degree, or equivalent education in a business-related field strongly encouraged.
• At least one year of experience in a professional services environment
• Ability to use MS Office Suite effectively; SharePoint and advanced Excel skills are a bonus
• Strong organizational skills, critical thinking, and attention to detail in analyzing multiple data sets.
• A high level of curiosity and adaptability when facing unfamiliar situations.
• Ability to effectively communicate orally and in writing with all levels of the organization.

Nice To Haves

• Knowledge of FINRA Pilot Program rules is a plus, but if you’re eager to learn, we’ll help you build that expertise.
• SharePoint and advanced Excel skills are a bonus
• Series 24 and 66 are strongly recommended for future growth.

Responsibilities

• Work side-by-side with the Branch Oversight Team Lead to conduct, track, and create annual Capital Markets location reviews.
• Serve as a key point of contact, delivering exceptional support for our internal clients across 5 Capital Markets business lines.
• Continuously and promptly update location tracking logs to ensure an efficient review process.
• Assist in the development and application of a new location management tool.
• Attend meetings pertaining to the Capital Markets Compliance location reviews.
• Collaborate with other Units of Compliance such as Registration, Compliance Analytics, Private Wealth Management, and Personal Activities.
• Conduct virtual Teams walkthroughs, on-site reviews, and remote location reviews as needed.
• Travel to at least five different out-of-state locations annually.
• Stay up to date on the rules and regulations of FINRA’s Pilot Program.
• Attend specific annual in-house Compliance Roundtable sessions to collaborate with peer firms as well as virtual working groups.
• Perform other duties as assigned.

Benefits

• Compensation and bonus are commensurate with experience, performance and/or firm profitability
• You’ll have the opportunity to advance your career while enjoying our comprehensive benefits designed for your life, career and future.

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level
• Education Level: Associate degree
• Number of Employees: 5,001-10,000 employees