Compliance Officer - Corporate Compliance

Baird
Milwaukee
Workplace: HybridFull timeFunction: Legal, Risk & ComplianceExperience: 3-5 yearsEducation: bachelorsSkills: ["Organizational skills","Attention to detail","Professionalism","Collaboration","Work-flow management"]

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.

Loading

Loading job details...

Preparing the role view and application actions.

FursaFursa
Baird
Baird
1 month 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: 1 day 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
WebsiteLinkedIn