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Baird · 2 weeks ago

Compliance Analyst - Corporate Compliance

Milwaukee, WI

Full-time

Hybrid

Entry Level

1+ years exp

Baird is a financial services firm seeking a Corporate Compliance Analyst to assist associates with compliance issues, firm policies, and industry regulations. The role involves managing associate disclosure obligations and ensuring compliance with regulatory requirements across various business lines.

Financial Services

Growth Opportunities

Hiring Manager

Rachel Evanow

Responsibilities

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

Qualification

Compliance experienceAnalytical skillsCommunication skillsMicrosoft OfficeCompliance softwareFINRA/SEC knowledgeCuriosityOrganizational skillsProblem-solving skillsAttention to detailCollaboration skills