About the Role:We are seeking a detail-oriented and collaborative compliance professional to join our Corporate Compliance team. In this role, you will oversee key compliance processes related to associate training, regulatory questionnaires, and disclosure requirements while serving as a trusted advisor on firm policies, procedures, and regulatory obligations.You will work closely with associates and business partners across the organization to address compliance-related inquiries and support the identification, investigation, and resolution of potential compliance risks. This role requires strong knowledge of FINRA and SEC regulations, exceptional organizational skills, and the ability to balance regulatory requirements with a service-oriented approach.This position offers flexibility with 3 days per week in our Milwaukee office and 2 days remote. The Impact You’ll Make: Reviews, interprets and analyzes higher risk and more complex associate requests, registrations and disclosuresCollaborate with Compliance Analytics Team, Business Process and IT team members to develop new workflows or implement process enhancements, oftentimes managing several project lanes at one timeEnsure associate training, attestation, registration and disclosure 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 necessaryMonitor and report on associate disclosures; identify business risks and recommend improvementsProvide assistance to associates regarding compliance issues, firm policies, procedures and industry regulations as they pertain to the Corporate Compliance functionActively participate in, research and execute on ad-hoc projects led by the Corporate Compliance teamWhat You’ll Bring to Baird:3-5 years of compliance or financial services experience, broker-dealer and/or investment advisor preferredPrior Registrations experience preferredSIE, Series 7 and 24 preferredBachelor’s degree or equivalent of education and work experienceProficient with technology including Microsoft Office products (especially Word and Excel)Exceptional organizational and work-flow management skills with strong attention to detailDemonstrated ability to handle difficult situations with candor and professionalism across all levels of the organization, both verbal and writtenAbility to collaborate across multiple groups and manage multiple priorities simultaneouslyCompensation and Benefits: Compensation and bonus are commensurate with experience, performance and/or firm profitabilityYou’ll have the opportunity to advance your career while enjoying our comprehensive benefits designed for your life, career and future#LI-RE1Baird 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.SummaryLocation: WI-MilwaukeeType: Full time
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