What are the responsibilities and job description for the Compliance Analyst - Corporate Compliance position at Baird?
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 interaction with associates throughout the firm’s five business lines, Compliance, and the firm’s corporate resource groups.
This position offers flexibility with 3 days per week in our Milwaukee office and 2 days remote. During onboarding and training, you may be asked to come into the office more frequently.
The Impact You’ll Make
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 interaction with associates throughout the firm’s five business lines, Compliance, and the firm’s corporate resource groups.
This position offers flexibility with 3 days per week in our Milwaukee office and 2 days remote. During onboarding and training, you may be asked to come into the office more frequently.
The Impact You’ll 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 firm’s policies.
- Review, edit and draft policies, procedures and communications.
- Actively participate in, and complete research as required, for projects including regulatory inquiries and examinations.
- 1-2 years of compliance or financial services broker-dealer and/or investment advisor experience.
- Bachelor’s 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.