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Baird · 1 day ago

Compliance Analyst - Capital Markets Branch Oversight

WI-Milwaukee

Full-time

Hybrid

Entry, Mid Level

1+ years exp

Baird is a financial services firm seeking a Branch Oversight Analyst to support compliance oversight within Capital Markets. The role involves conducting location reviews, maintaining records, and ensuring compliance with regulatory requirements, while collaborating with various teams across the firm.

Financial Services

Growth Opportunities

Responsibilities

Work side-by-side with the Branch Oversight Team Lead to conduct, track, and create annual Capital Markets location reviews

Serve as a key point of contact, delivering exceptional support for our internal clients across 5 Capital Markets business lines

Continuously and promptly update location tracking logs to ensure an efficient review process

Assist in the development and application of a new location management tool

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 at least five different out-of-state locations annually

Stay up to date on the rules and regulations of FINRA’s Pilot Program

Attend specific annual in-house Compliance Roundtable sessions to collaborate with peer firms as well as virtual working groups

Perform other duties as assigned

Qualification

SIE certificationSeries 7 certificationFINRA Pilot Program knowledgeMS Office SuiteSharePointAdvanced ExcelCuriosityOrganizational skillsCritical thinkingAttention to detailCommunication skillsAdaptability