Compliance Analyst - Corporate Compliance

Baird • Milwaukee, WI

57d • Hybrid

About The Position

About the Role: The Corporate Compliance Analyst will provide assistance and guidance to Baird associates throughout their journey with the firm regarding compliance issues, firm policies and procedures, and industry regulations. The role will manage associate disclosure obligations and the registration status of individuals, branches, and the firm in securities, investment advisory, municipal advisory, and insurance businesses. The position requires interaction with associates throughout the firm’s five business lines, Compliance, and the firm’s corporate resource groups. This position offers flexibility with 3 days per week in our Milwaukee office and 2 days remote. During onboarding and training, you may be asked to come into the office more frequently. The Impact You’ll Make: Maintain and monitor the registration status of individuals during the onboarding process, their employment with Baird and through the termination process. Oversee various continuing education programs to ensure regulatory requirements are met. Review, interpret, and analyze associate disclosures items to ensure compliance with policies and guidelines. Prepare and distribute written correspondence to appropriate parties during the review and resolution process for associate disclosures. Ensure associate responsibilities are completed and documented in accordance with the firm’s policies. Review, edit and draft policies, procedures and communications. Actively participate in, and complete research as required, for projects including regulatory inquiries and examinations. What You’ll Bring to Baird: 1-2 years of compliance or financial services broker-dealer and/or investment advisor experience. Bachelor’s degree or equivalent of education and work experience. Strong organizational, critical thinking and problem-solving skills. Applies analytical skills and knowledge of the associate experience to complete reviews. High degree of curiosity and attention to detail. Actively collaborate with Baird associates. Demonstrated ability to handle difficult situations with candor and professionalism. Strong verbal and written communication skills. Ability to work independently and manage multiple priorities simultaneously. Proficient with technology including Microsoft Office products (especially Word and Excel). Experience with compliance software and tools is preferred. SIE qualification exam, or recommended to obtain within two years. Knowledge of FINRA/SEC rules, regulations, and practices along with broker-dealer rules and products is preferred. #LI-RE1 Baird is committed to diversity and provides employment opportunities to all employees and applicants for employment without regard to race, color, religion, sex, pregnancy, citizenship, national origin, age, disability, military service, veteran status, sexual orientation, gender identity or expression, genetic information, or any other status protected by law. Baird is an employee-owned, international financial services firm specializing in wealth management, capital markets, private equity and asset management. Our mission is straightforward. We strive “to provide the best financial advice and service to our clients and be the best place to work for all.” Our culture is like no other with extraordinary people who make Baird great for our clients and one another. Nationally recognized as a great place to work since 2004, we invite you to learn more about Baird, our culture and our people. Baird is committed to inclusion & diversity for our clients, our associates and the communities where we live and work. This commitment stems from our culture of integrity, genuine concern for others and respect for the individual. We view inclusion & diversity as an ongoing journey – one of shared responsibility, continuous improvement and a focus on progress. We invite you to join us as we work together to foster an environment where diversity unites rather than divides us.

Requirements

• 1-2 years of compliance or financial services broker-dealer and/or investment advisor experience.
• Bachelor’s degree or equivalent of education and work experience.
• Strong organizational, critical thinking and problem-solving skills.
• Applies analytical skills and knowledge of the associate experience to complete reviews.
• High degree of curiosity and attention to detail.
• Actively collaborate with Baird associates.
• Demonstrated ability to handle difficult situations with candor and professionalism.
• Strong verbal and written communication skills.
• Ability to work independently and manage multiple priorities simultaneously.
• Proficient with technology including Microsoft Office products (especially Word and Excel).

Nice To Haves

• Experience with compliance software and tools is preferred.
• SIE qualification exam, or recommended to obtain within two years.
• Knowledge of FINRA/SEC rules, regulations, and practices along with broker-dealer rules and products is preferred.

Responsibilities

• Maintain and monitor the registration status of individuals during the onboarding process, their employment with Baird and through the termination process.
• Oversee various continuing education programs to ensure regulatory requirements are met.
• Review, interpret, and analyze associate disclosures items to ensure compliance with policies and guidelines.
• Prepare and distribute written correspondence to appropriate parties during the review and resolution process for associate disclosures.
• Ensure associate responsibilities are completed and documented in accordance with the firm’s policies.
• Review, edit and draft policies, procedures and communications.
• Actively participate in, and complete research as required, for projects including regulatory inquiries and examinations.

What This Job Offers

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