Milwaukee, WI
Compliance Officer - Control Room
We have an exciting opportunity to join our Compliance team as a Compliance Officer - Control Room. While this role is traditionally based in our Milwaukee or Louisville offices, we are open to a 100% remote arrangement. If you have 5+ years of Control Room experience and enjoy working autonomously, this is for you!
The Compliance Officer - Control Room will be primarily responsible for the day to day operations of the Control Room including: liaising with the Research and Investment Banking Departments; developing and maintaining a solid understanding of all applicable laws and regulations related to these businesses; providing advisory services concerning Baird’s information barrier compliance program; maintenance of the watch list and restricted list; identifying and addressing conflicts of interest; creating, updating, and enforcing written policies and procedures, and generally maintaining high ethical standards as required by Baird and the securities industry.
As a Compliance Officer, you will:
Interact regularly with Research and Investment Banking business partners to answer questions and provide guidance concerning the application of numerous securities regulations related to their business initiatives.
Research, analyze, and apply existing, proposed, and new rules and regulations to business practices and develop and enforce policies and procedures as applicable. Periodically test these processes.
Act as a resource to other members of the Control Room.
Maintain detailed and accurate watch list records in support of the Firm’s information barrier program and surveil associate activities for breaches.
Review equity research reports to ensure compliance with various legal and regulatory obligations.
Develop and draft responses to regulatory inquiries.
Liaise with relevant supervisors and business leaders to create, update, and enforce policies and procedures associated training materials.
Deliver presentations related to compliance matters to large and small groups of Baird Associates.
What makes this opportunity great:
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.
Team of associates passionate about achieving great results for clients and giving back to the communities where we live and work.
Unique culture that values diverse backgrounds and perspectives while emphasizing teamwork and a strong sense of partnership.
What we look for:
Bachelor’s degree and 5+ years of Control Room experience, relevant experience with a broker-dealer or investment bank, or relevant experience working for a regulatory authority in the financial industry.
Highly proactive, determined, with a strong work ethic with the ability to prioritize projects and work independently.
Strong analytical skills and a deep understanding of relevant rules and regulations, including SEC Regulation M; SEC Rules 137, 138, 139, FINRA Rules 2241 and 2242 Regulation AC and Regulation FD.
A willingness to research, interpret and apply other SEC and FINRA rules and regulations (e.g., the Securities Act of 1933, Securities and Exchange Act of 1934, Insider Trading and Securities Fraud Enforcement Act of 1988).
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 product.
Must have or be able to obtain the SIE, Series 7 and 24 licenses within 12 months of hire.
Willingness to travel domestically 5-10 times per year.
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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.
