Temporary PWM Compliance Associate
About The Position
Act as a resource and provide a high level of service to internal clients across 5 Capital Markets business lines. Maintain various location tracking logs to ensure efficient review process. Have the ability to work with multiple data sets. 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. Attend specific annual in-house Compliance Roundtable sessions to collaborate with peer firms. Perform other duties as assigned. 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.
Requirements
- Ability to work with multiple data sets.
Responsibilities
- Act as a resource and provide a high level of service to internal clients across 5 Capital Markets business lines.
- Maintain various location tracking logs to ensure efficient review process.
- 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.
- Attend specific annual in-house Compliance Roundtable sessions to collaborate with peer firms.
- Perform other duties as assigned.
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What This Job Offers
Career Level
Mid Level
Education Level
No Education Listed
Number of Employees
501-1,000 employees
