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Compliance Analyst
Robert W. Baird
Milwaukee, WI, United States
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Job Description
With offices and experts on three continents, including global Investment Banking and Private Equity teams, an international equity sales force and a nationally recognized U.S. fixed income platform, Baird offers unique, first-person insights into important markets around the world. Due to growth, we have an excellent opportunity to become part of Baird’s Compliance Team responsible for supporting the firm’s Capital Markets businesses. We are seeking a talented and motivated individual who will be primarily responsible for maintaining Capital Markets branch review processes, conducting disclosure reviews, and trending regulatory risk areas for further review.
As a Compliance Analyst on the Capital Markets team you will:
• Develop, maintain and coordinate the firm’s branch office examination program as it pertains to Capital Markets. Schedule and conduct branch examinations to ensure compliance with applicable securities industry regulations and the Firm’s policies and procedures; prepare written reports to senior management documenting all areas of non-compliance.
• Conduct disclosure review for public finance clients.
• Create and maintain database to track and trend testing of supervisory systems, oversight procedures, or training by topic.
• Create and maintain Capital Markets Report Catalogue.
• Execute periodic testing and trending of the firm’s Capital Markets business processes and procedures.
• Assist with regulatory inquiries and examinations as needed.
• Perform other duties as assigned.
What makes this opportunity great:
• Unique culture that values diverse backgrounds and perspectives while emphasizing teamwork and a strong sense of partnership.
• Opportunity to work alongside Baird Compliance professionals who are highly recognized and respected in our industry and throughout the firm.
• Compliance roles involve a high degree of challenge. No work day will be the same due to expanding business and an ever changing regulatory environment.
What we look for:
• Bachelor’s degree required.
• Strong analytical, organizational, critical thinking, and problem solving skills.
• High level of curiosity and comfort with the unfamiliar or unknown.
• Ability to effectively communicate orally or in writing within all levels of the organization.
• Series 7 and 24 a plus or willingness to promptly obtain them.
• Must be willing to travel (up to 10%).
Who we are:
Baird is an employee owned, international wealth management, capital markets, private equity and asset management firm with more than 100 offices in the United States, Europe and Asia. Established in 1919, Baird has over $200 billion in client assets and more than 3,400 associates serving the needs of individual, corporate, institutional and municipal clients.
Baird has built an environment of trust, respect and teamwork, where associates are our greatest asset. As stated in our Associate Promise, we are passionate about how we achieve great outcomes together for our clients, communities and each other. Committed to being a great place to work, Baird ranked No. 12 on the Fortune magazine 100 Best Companies to Work For in 2018, our fifteenth consecutive year on the list. Baird has also received a perfect score on the Human Rights Campaign Foundation’s 2018 Corporate Equality Index. To learn more about Baird’s culture, click here.
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