- 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.
- 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.
- 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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Compliance Analyst
3 weeks ago
Robert W. Baird & Company, Inc. Milwaukee, United StatesPossess 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, Compliance Analyst, Control Ro ...
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Compliance Analyst
2 weeks ago
Robert W. Baird & Company, Inc. Milwaukee, United StatesReview, interpret, and analyze associate disclosures items to ensure compliance with policies and guidelines. Ensure associate responsibilities are completed and documented in accordance with the firms policies and procedures by tracking progress of Compliance Analyst, Compliance ...
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Compliance Analyst
2 weeks ago
Robert W. Baird & Co. Incorporated Milwaukee, United StatesCompliance · The Personal Activities Compliance Analyst will provide assistance and guidance to Baird associates regarding compliance issues, firm policies and procedures, and industry regulations. The role will manage associate disclosure obligations and play a key role in the a ...
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Compliance Analyst
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Versiti Inc. Milwaukee, United StatesOverview: · Versiti is a fusion of donors, scientific curiosity, and precision medicine that recognize the gifts of blood and life are precious. · We are home to the world-renowned Blood Research Institute, we enable life saving gifts from our donors, and provide the science be ...
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Compliance Analyst
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Robert W. Baird & Co. Milwaukee, United StatesCompliance · The Personal Activities Compliance Analyst will provide assistance and guidance to Baird associates regarding compliance issues, firm policies and procedures, and industry regulations. The role will manage associate disclosure obligations and play a key role in the ...
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Compliance Analyst
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Baird Milwaukee, United StatesCompliance · The Personal Activities Compliance Analyst will p rovide assistance and guidance to Baird associates regarding compliance issues, firm policies and procedures, and industry regulations. The role will manage associate disclosure obligations and play a key role in the ...
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Compliance Analyst
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Versiti Inc. Milwaukee, United States· Compliance Analyst - Organ Procurement - Casual Position - 15 hours a week · Job Locations · US-WI-Milwaukee · ID · Category · Legal and Compliance · Position Type · Casual · Overview · Versiti is a fusion of donors, scientific curiosity, and precision medicine that recognize ...
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Compliance Analyst
3 weeks ago
Versiti Inc. Milwaukee, United States· Compliance Analyst - Organ Procurement · Job Locations · US-WI-Milwaukee · ID · Category · Legal and Compliance · Position Type · Casual · Overview · Versiti is a fusion of donors, scientific curiosity, and precision medicine that recognize the gifts of blood and life are prec ...
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Compliance Analyst
1 week ago
Robert W. Baird Milwaukee, United StatesCompliance_ · The Personal Activities Compliance Analyst will provide assistance and guidance to Baird associates regarding compliance issues, firm policies and procedures, and industry regulations. The role will manage associate disclosure obligations and play a key role in the ...
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Compliance Analyst
3 weeks ago
Versiti, Inc. Milwaukee, United StatesOverview: Versiti is a fusion of donors, scientific curiosity, and precision medicine that recognize the gifts of blood and life are precious. We are home to the world-renowned Blood Research Institute, we enable life saving gifts from our donors, and provide the science behind t ...
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Jobs for Humanity Milwaukee, United StatesCompany Description · Jobs for Humanity is collaborating with FIS Global to build an inclusive and just employment ecosystem. We support individuals coming from all walks of life. · Company Name: FIS Global · Job Description · Position Type : · Full time · Type Of Hire : ...
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La Causa Milwaukee, United StatesJob Type · Full-time · Description · JOB TITLE: Audit & Compliance Analyst FLSA STATUS: Hourly / Overtime Eligible · LOCATON: Administration / On-Site · PRIMARY FUNCTION: · Audits, reviews, and inspects, various records, files, contracts, and other agency documents to ensure ...
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Associated Bank Milwaukee, United StatesAt Associated Bank we strive to create an inclusive culture where different perspectives are valued and recognized as strengths critical to our success. If you thrive in an environment where your growth and development are encouraged and supported, then Associated Bank may be the ...
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Komatsu Milwaukee, United StatesKomatsu is an indispensable partner to the construction, mining, forestry, forklift, and industrial machinery markets, maximizing value for customers through innovative solutions. With a diverse line of products supported by our advanced IoT technologies, regional distribution ch ...
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Georgetown University Milwaukee, United StatesSenior Compliance Analyst, Sponsored Projects page is loaded · Senior Compliance Analyst, Sponsored Projects · Apply · remote type · Hybrid · locations · 2121 Wisconsin Avenue · time type · Full time · posted on · Posted 30+ Days Ago · job requisition id · JR17599 · ...
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Compliance Analyst
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Allspring Global Investments Menomonee Falls, United StatesElevate Your Career · Work where your ideas have impact · COMPANY · Allspring Global Investments is a leading independent asset management firm that offers a broad range of investment products and solutions designed to help meet clients' goals. At Allspring, our vision is to insp ...
Compliance Analyst - Milwaukee, United States - Baird
Description
Compliance Analyst - Control RoomMilwaukee, 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:
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.
Compliance Analyst professionals in Milwaukee
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Colleen Anderson
I take everyday as an opportunity to learn, grow and build relationships.