Baird

1 day ago

Compliance Officer - Corporate Compliance

✓ Verified Job

Canonical indexed version, validated from employer's careers page.

Source: Company careers pageValidated by: Fursa AI

Last checked: 14 hours agoStatus: Live

Job Summary

Oversee key corporate compliance processes for associate training, regulatory questionnaires, and disclosure requirements. Review and analyze higher-risk registrations and disclosures, track completion/attestations, and escalate issues as needed. Partner with associates and internal teams to investigate potential compliance risks, monitor and report on disclosures, and support ad-hoc projects. Position offers 3 days weekly in Milwaukee and 2 days remote while ensuring alignment with FINRA and SEC obligations.

Location: Milwaukee

Workplace: Hybrid

Employment Type: Full time

Job Function: Legal, Risk & Compliance

Seniority: Mid level

Key Responsibilities

•Review, interpret, and analyze higher-risk associate requests, registrations, and disclosures.
•Ensure associate training, attestation, registration, and disclosure responsibilities are completed, documented, tracked, and escalated when necessary.
•Monitor and report on associate disclosures, identify business risks, and recommend improvements.
•Collaborate with Compliance Analytics, Business Process, and IT teams to develop workflows and implement process enhancements across multiple project lanes.
•Provide guidance to associates on compliance issues, firm policies and procedures, and applicable industry regulations; support ad-hoc compliance projects.

Key Requirements

•3-5 years of compliance or financial services experience, preferably in a broker-dealer and/or investment advisor setting.
•Strong knowledge of FINRA and SEC regulations, including reviewing and supporting registrations and disclosures.
•Prior registrations experience is preferred.
•Proficiency with Microsoft Office, especially Word and Excel.
•Bachelor’s degree or equivalent education and work experience.

Experience:3-5 yearsFinancial services

Education:Bachelor's

Skills:Organizational skillsAttention to detailProfessionalismCollaborationWork-flow management

Tech Stack:Microsoft OfficeWordExcel

Company Brief

Baird

Robert W. Baird & Co. is an employee-owned financial services firm providing wealth management, investment banking, asset management, and capital markets services to individuals, institutions, and corporations across the U.S. and internationally.

Industry: Wealth Management

Company Size: Enterprise (1,001+ employees)

Revenue: USD 1B+

Growth: Established Company

Headquarters: Milwaukee, United States

Founded: 1919

Website LinkedIn

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Baird

1 day ago

Compliance Officer - Corporate Compliance

✓ Verified Job

Canonical indexed version, validated from employer's careers page.

Source: Company careers pageValidated by: Fursa AI

Last checked: 14 hours agoStatus: Live

Job Summary

Location: Milwaukee

Workplace: Hybrid

Employment Type: Full time

Job Function: Legal, Risk & Compliance

Seniority: Mid level

Key Responsibilities

•Review, interpret, and analyze higher-risk associate requests, registrations, and disclosures.
•Ensure associate training, attestation, registration, and disclosure responsibilities are completed, documented, tracked, and escalated when necessary.
•Monitor and report on associate disclosures, identify business risks, and recommend improvements.
•Collaborate with Compliance Analytics, Business Process, and IT teams to develop workflows and implement process enhancements across multiple project lanes.
•Provide guidance to associates on compliance issues, firm policies and procedures, and applicable industry regulations; support ad-hoc compliance projects.

Key Requirements

•3-5 years of compliance or financial services experience, preferably in a broker-dealer and/or investment advisor setting.
•Strong knowledge of FINRA and SEC regulations, including reviewing and supporting registrations and disclosures.
•Prior registrations experience is preferred.
•Proficiency with Microsoft Office, especially Word and Excel.
•Bachelor’s degree or equivalent education and work experience.

Experience:3-5 yearsFinancial services

Education:Bachelor's

Skills:Organizational skillsAttention to detailProfessionalismCollaborationWork-flow management

Tech Stack:Microsoft OfficeWordExcel

Company Brief

Baird

Industry: Wealth Management

Company Size: Enterprise (1,001+ employees)

Revenue: USD 1B+

Growth: Established Company

Headquarters: Milwaukee, United States

Founded: 1919

Website LinkedIn