Compliance Analyst Corporate Compliance

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 interactionwith associates throughout the firms five business lines Compliance and the firms corporate resource groups.

This position offers flexibility with 3 days per week in our Milwaukee office and 2 days onboarding and training you may be asked to come into the office more frequently.

The Impact Youll 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 firms 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 Youll Bring to Baird:

• 1-2 years of compliance or financial services broker-dealer and/or investment advisor experience.
• Bachelors 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.

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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.