Compliance Analyst - Control Room

Compliance Analyst - Control Room

Milwaukee, WI

Are you ready to contribute to the growth and success of a thriving, global financial services firm with an award-winning culture? We have a unique opportunity to join Baird's Compliance team as a Compliance Analyst in our Control Room.

The Control Room Compliance Analyst is primarily responsible for the day to day operations of the Control Room in support of the Global Investment Banking and Institutional Equities and Research teams. You will maintain the information barrier compliance program, develop and maintain a working understanding of all applicable laws and regulations, and identify and address conflicts of interest. You will have the opportunity to create, update, and enforce written policies and procedures and maintain high ethical standards as required by Baird and the securities industry.

As a Compliance Analystr you will:

• Possess a strong desire to research and the ability to accurately interpret rules and regulations to provide time sensitive guidance to business partners. Create, update, and enforce policies and procedures and associated training materials.

• Review, analyze, and interpret daily, monthly, and other periodic Control Room reports and address issues as necessary.

• Develop and draft responses to regulatory inquiries.

• Conduct new hire compliance interviews, orientations, and training.

What makes this opportunity great?

• This position will challenge you and provide you with the opportunity to develop fundamental and unique skill sets.

• Changing regulatory landscape and growing businesses contributes to variety in day-to-day responsibilities.

• Ability to work with a variety of teams and leaders, proving your ability to be flexible and highly adaptable.

• Fast paced environment that will enable you to grow as a professional.

What we look for:

• Bachelor's degree, advanced degree a plus. Experience with a broker-dealer or investment bank, and/or relevant experience working for a financial industry regulator strongly preferred.

• Strong analytical skills and the ability and willingness to navigate, interpret and apply the rules and regulations promulgated by the SEC (e.g., the Securities Act of 1933, Securities and Exchange Act of 1934, Insider Trading and Securities Fraud Enforcement Act of 1988), FINRA and other regulatory bodies.

• Self-confidence with the ability to effectively communicate verbally and in writing with associates at all levels of the organization.

• Detail-oriented with a track-record of consistently producing high quality results in all endeavors.

• Comfort with the unknown and a strong willingness to find answers to complex questions.

• Proactive, determined, with a strong work ethic and a natural desire to independently learn and master subjects.

• Must be able to obtain the SIE, Series 7 and 24 licenses within 12 months of hire.

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Commitment to Inclusion & Diversity

Baird is committed to inclusion & diversity for our clients, our associates and the communities where we live and work. This commitment stems from our culture of integrity, genuine concern for others and respect for the individual. We view inclusion & diversity as an ongoing journey - one of shared responsibility, continuous improvement and a focus on progress. We invite you to join us as we work together to foster an environment where diversity unites rather than divides us. Learn more here.