Compliance Analyst - Capital Markets Branch Oversight
Compliance Analyst - Capital Markets Branch Oversight
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Job Description
Compliance Analyst Capital Markets Branch Oversight
We are seeking a Branch Oversight Analyst who will be primarily responsible for oversight of the branch and location review programs in Capital Markets Compliance. A successful individual will bring knowledge of the rules and regulations related to the FINRA Pilot Program and/or the ability to quickly acquire that knowledge on the job. The candidate must demonstrate ability to effectively review analyze and apply learned concepts between systems and programs to maintain accurate and complex records working closely with the Branch Oversight Program Manager to improve and complete the annual review of locations.
As a Compliance Analyst Capital Markets Branch Oversight you will:
Work side-by-side with the Branch Oversight Program Manager to conduct track and create annual Capital Markets location reviews.
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.
Conduct virtual Teams walkthroughs on-site reviews and remote location reviews as needed.
Travel to 4-6 different out-of-state locations annually.
Stay up to date on the rules and regulations of FINRAs Pilot Program.
Attend specific annual in-house Compliance Roundtable sessions to collaborate with peer firms.
What makes this opportunity great:
A distinctive culture that appreciates diverse backgrounds and viewpoints while prioritizing teamwork and fostering a strong sense of partnership.
An opportunity to collaborate with Baird Compliance professionals who are highly esteemed in both our industry and the firm.
Compliance roles present significant challenges ensuring that no two workdays are alike due to the growing business and the dynamic regulatory landscape.
What we look for:
SIE Series 7 and 24 must be obtained within two years of the hiring date.
An Associate or Bachelors degree or equivalent education in a financial or business-related field is preferred.
Proficiency in the Microsoft Office Suite is essential; experience with SharePoint and OneNote is an advantage while basic Excel skills are strongly preferred.
Excellent organizational skills are a must.
Strong critical thinking abilities and a keen attention to detail are essential.
Experience and comfort with analyzing multiple data points is required.
A high level of curiosity and ease when dealing with the unfamiliar or unknown is important.
Ability to communicate effectively both orally and in writing across all levels of the organization is necessary.
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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.
Required Experience:
IC
Employment Type
Full-Time
