Compliance Analyst

4 weeks ago

Milwaukee, United States Robert W. Baird & Co. Incorporated Full time

Compliance

The Personal Activities Compliance Analyst will provide assistance and guidance to Baird associates regarding compliance issues, firm policies and procedures, and industry regulations. The role will manage associate disclosure obligations and play a key role in the administration of the firm's third-party technology solution used to execute Personal Activities related processes. Knowledge of FINRA/SEC rules, regulations, and practices along with broker-dealer rules and products is preferred.

As a Compliance Analyst, you will:

* Review, interpret, and analyze associate disclosures items to ensure compliance with policies and guidelines


* Ensure associate responsibilities are completed and documented in accordance with the firm's policies and procedures by tracking progress of completion and following-up on outstanding requirements, escalating when necessary


* Prepare and distribute written correspondence to appropriate parties during the review and resolution process for disclosures made by Baird associates


* Monitor associate disclosure activity to identify business risks and recommend mitigating improvements


* Review, edit and draft policies, procedures and communications


* Actively participate in, and complete research as required, for projects led by the Personal Activities team


* Provide assistance and guidance to associates regarding compliance issues, firm policies and procedures and industry regulations as they pertain to the Personal Activities function.


* Actively collaborate and build relationships with team and other associates



What makes this opportunity great:

* The days are always interesting due to the ever-changing and dynamic nature of the work, making each day unique.


* Utilize your analytical skills to play the role of unofficial detectives and seize opportunities for investigation.


* Opportunities to work alongside the best in the business, building a compelling career.


* Support and flexibility to help you grow and achieve your best, both personally and professionally.



What we look for:

* 0-2 years of compliance or financial services experience, broker-dealer and/or investment advisor preferred


* SIE qualification exam recommended within two years


* Bachelor's degree or equivalent of education and work experience


* Strong analytical, organizational, critical thinking and problem-solving skills


* Strong organizational and work-flow management skills


* High degree of curiosity and attention to detail


* Demonstrated ability to handle difficult situations with candor and professionalism


* Proficient with technology including Microsoft Office products (especially Word and Excel)


* Strong verbal and written communication skills


* Ability to work independently and manage multiple priorities simultaneously



#LI-RE

Commitment to Inclusion & Diversity

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. Learn more here.

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