- Review, interpret, and analyze associate disclosures items to ensure compliance with policies and guidelines
- Ensure associate responsibilities are completed and documented in accordance with the firm's policies and procedures by tracking progress of completion and following-up on outstanding requirements, escalating when necessary
- Prepare and distribute written correspondence to appropriate parties during the review and resolution process for disclosures made by Baird associates
- Monitor associate disclosure activity to identify business risks and recommend mitigating improvements
- Review, edit and draft policies, procedures and communications
- Actively participate in, and complete research as required, for projects led by the Personal Activities team
- Provide assistance and guidance to associates regarding compliance issues, firm policies and procedures and industry regulations as they pertain to the Personal Activities function.
- Actively collaborate and build relationships with team and other associates
- The days are always interesting due to the ever-changing and dynamic nature of the work, making each day unique.
- Utilize your analytical skills to play the role of unofficial detectives and seize opportunities for investigation.
- Opportunities to work alongside the best in the business, building a compelling career.
- Support and flexibility to help you grow and achieve your best, both personally and professionally.
- 0-2 years of compliance or financial services experience, broker-dealer and/or investment advisor preferred
- SIE qualification exam recommended within two years
- Bachelor's degree or equivalent of education and work experience
- Strong analytical, organizational, critical thinking and problem-solving skills
- Strong organizational and work-flow management skills
- High degree of curiosity and attention to detail
- Demonstrated ability to handle difficult situations with candor and professionalism
- Proficient with technology including Microsoft Office products (especially Word and Excel)
- Strong verbal and written communication skills
- Ability to work independently and manage multiple priorities simultaneously
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Compliance Analyst - Milwaukee, United States - Robert W. Baird & Co.
Description
Compliance
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 administration of the firm's third-party technology solution used to execute Personal Activities related processes. Knowledge of FINRA/SEC rules, regulations, and practices along with broker-dealer rules and products is preferred.
As a Compliance Analyst, you will:
#LI-RE
Baird is committed to diversity and provides employment opportunities to all employees and applicants for employment without regard to race, color, religion, sex, pregnancy, citizenship, national origin, age, disability, military service, veteran status, sexual orientation, gender identity or expression, genetic information, or any other status protected by law.
Compliance Analyst professionals in Milwaukee
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Colleen Anderson
I take everyday as an opportunity to learn, grow and build relationships.