Baird | Wealth Management, Capital Markets, Private Equity, Investment Banking Offered by Baird

Now is a great time to join our Capital Markets Compliance team! We are seeking a Compliance Officer/Analyst who will be primarily responsible for Equity Trading Compliance, including equity program/electronic trading. A successful individual will bring expertise of the rules and regulations related to the U.S. cash equities markets and electronic trading including FINRA, SEC, and NYSE rules. Ability to effectively review and analyze complex situations and apply judgment to resolve issues in a timely manner with minimal supervision is required.

As a Compliance Officer/Analyst on the Capital Markets team, you will:

  • Act as a resource and provide a high level of service to internal clients, providing interpretive advice as to the application of securities regulations to various business scenarios. 

  • Respond to inquiries from firm employees regarding compliance and equity trading related issues.

  • Analyze potential violations of securities regulations and/or firm policy and take appropriate remedial or corrective action.

  • Perform detailed analysis of trading activities including REG NMS, SEC Rule 605/606, and Reg SHO.

  • Analyze and draft responses to regulatory inquiries from the SEC, FINRA, and other regulators.

  • Execute periodic testing of the firm’s Capital Markets processes.

  • Review new rules to determine impact to supported businesses, amend policies/conduct training, and create additional surveillance reports as needed.

  • Develop and deliver compliance training as needed.

What makes this opportunity great:

  • Unique culture that values diverse backgrounds and perspectives while emphasizing teamwork and a strong sense of partnership. 

  • Opportunity to work alongside Baird Compliance professionals who are highly recognized and respected in our industry and throughout the firm.

  • Compliance roles involve a high degree of challenge. No work day will be the same due to expanding business and an ever changing regulatory environment.

What we look for:

  • Bachelor’s degree required.

  • Series 7, 24, and 57 licenses preferred or obtain within 6 months of hire.    

  • Electronic Trading experience.

  • Experience with Fidessa preferred.     

  • Strong analytical, organizational, critical thinking, and problem solving skills.  

  • Experience and comfort with analyzing complex data.

  • High level of curiosity and comfort with the unfamiliar or unknown.

  • Ability to effectively communicate orally or in writing within all levels of the organization.

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Commitment to Inclusion & Diversity

Baird is committed to inclusion & diversity for our clients, our associates and the communities where we live and work. This commitment stems from our culture of integrity, genuine concern for others and respect for the individual. We view inclusion & diversity as an ongoing journey – one of shared responsibility, continuous improvement and a focus on progress. We invite you to join us as we work together to foster an environment where diversity unites rather than divides us. Learn more here.

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