Legal and Compliance Program Manager
About The Position
The Legal and Compliance Program Manager serves as an advisor to Baird Trust, providing both legal counsel and compliance support for the trust company’s fiduciary, regulatory, and business objectives. This role goes beyond advisory compliance guidance to include the delivery of legal advice, drafting and negotiation of agreements, statutory and regulatory interpretation, and direct engagement with auditors and regulators in all aspects of an exam. Working closely with business leadership, Risk, and Legal colleagues across Baird, this role helps ensure the trust company operates in a compliant, well‑governed, and risk‑aware manner while supporting strategic business initiatives. This role may require some travel and is expected to be in-office a minimum of 3 days per week in either our Louisville, KY or Milwaukee, WI office.
Requirements
- Juris Doctor (J.D.) degree
- Active license to practice law
- At least 1 year of experience in legal, compliance, or regulatory roles within financial services, trust companies, banking, or fiduciary environments
- Demonstrated experience providing legal advice and interfacing directly with regulators
- Proven ability to draft, review, and negotiate complex agreements
- Strong statutory and regulatory interpretation skills with sound legal judgment
- Experience leading regulatory responses and examinations from a legal perspective
- Ability to communicate complex legal concepts clearly to non‑legal stakeholders
- Strong partnership mindset with the ability to balance risk management and business enablement
- High level of professionalism, integrity, and discretion
Nice To Haves
- Knowledge of trust, fiduciary, and financial services regulations strongly preferred
Responsibilities
- Provide compliance and legal advice to the trust company and business partners on fiduciary, regulatory, and securities matters
- Draft, review, and negotiate agreements, including trust‑related contracts, vendor agreements, and regulatory documents; develop and maintain standard templates
- Review and implement new and existing statutes, rules and regulations
- Assist with audits and regulatory exams including both compiling responsive documentation and engaging in legal analysis, position‑taking, and interpretation of applicable laws and regulations
- Partner with business leadership to identify, assess, and mitigate compliance, legal and regulatory risk while enabling business objectives
- Oversee and enhance the trust company’s compliance framework, policies, and procedures in alignment with legal requirements
- Compliance monitoring including account reviews, marketing reviews and general oversight.
- Collaborate with enterprise Legal, Risk, and Compliance teams to ensure consistent interpretation and application of regulatory standards
- Support governance activities, including board and committee materials, regulatory filings, and internal reporting
- Act as a trusted advisor to leadership on complex or high‑risk issues affecting trust operations and strategy
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Education Level
Ph.D. or professional degree
