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 Analyst in the Control Room, you will:
What makes this opportunity great:
- 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 we look for:
- 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 hold SIE and be willing to obtain the Series 7 and 24 licenses within 12 months of hire.