- Conduct retail branch office examinations, including targeted interviews of Financial Advisors and On-Site Supervisors.
- Test, assess, document and report on the adequacy and effectiveness of PWM Supervision.
- Leverage resources to provide accurate and timely responses to PWM branch associates through PWM Compliance's dedicated inbox and phone line.
- Conduct compliance interviews for Non-Veteran Financial Advisor candidates.
- Create, write, and update firm policy and team desktop procedures.
- Participate in or manage projects resulting from regulatory changes or aimed at improving quality, reducing risk and/or increasing efficiency of procedures.
- Engage, collaborate, and maintain strong partnerships with key stakeholders in Compliance, PWM Supervision, and various Corporate Resource Groups.
- Provide training and education to PWM branch associates on compliance issues and best practices.
- Share responsibilities of answering phone calls and emails.
- Join a high performing team of associates passionate about achieving great results for clients and giving back to the communities where we live and work.
- Ability to work with a variety of teams and leaders, proving your ability to be flexible and highly adaptable.
- Unique culture that values diverse backgrounds and perspectives while emphasizing teamwork and a keen sense of partnership.
- Bachelor's degree or equivalent of education and work experience.
- SIE and Series 7 registrations preferred. Will consider allowing 12 months to obtain for the right candidate.
- Minimum of 2-5 years brokerage/investment advisory compliance, supervision or operations experience preferred.
- Working knowledge of retail brokerage and investment advisor laws, rules, and regulations.
- Branch inspection, compliance, or supervisory experience preferred.
- Proficiency in Microsoft Excel, OneNote, Outlook, and Teams preferred.
- Experience providing exceptional service to internal and external clients.
- Effective communication skills that include the ability to handle difficult conversations and situations with candor and professionalism.
- Presentation, training and/or facilitation skills a plus.
- Personally accountable with the ability to manage multiple priorities simultaneously.
- Collaborate cooperatively with peers, team members, and/or others to set responsibilities and deliverable expectations.
- Look beyond the immediate situation to better define ideas and solutions that will have long-term benefits for the team, department, or organization
- Seek pertinent learning opportunities to enhance job performance (e.g., coaching/mentoring skills, technology skills, training, etc.).
- Breaks down problems into smaller components to understand underlying issues.
- Ensure that written correspondence is neat and professional.
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Compliance Officer - Louisville, United States - Baird
Description
This is a great opportunity to join Baird's Compliance Team supporting the firm's Private Wealth Management (PWM) business as we continue to grow. The Branch Oversight Team within the PWM Compliance Unit is responsible for several core compliance functions, including branch office inspections, oversight of PWM Supervision, PWM recruit interviews, and general compliance training and support.
The Compliance Officer will be responsible for discovering, escalating, resolving, and following-up on complex issues related to the PWM business unit. The position requires extensive interaction with all levels of PWM branch associates, and a strong working knowledge of brokerage and Investment Advisory business is beneficial.
As a Compliance Officer for PWM Branch Oversight, you will:
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.
