Compliance Officer

We have an exciting opportunity to join our Compliance team as a Control Room Compliance Officer and we are offering this as a 100% remote opportunity for the right candidate. If you have Control Room experience and enjoy working autonomously, this is for you!

The Compliance Officer - Control Room is primarily responsible for assisting with the day to day operations of the Control Room including: developing and maintaining a solid understanding of all applicable SEC laws and FINRA regulations related to Research and Investment Banking products and services and answering questions from these business partners; reviewing exception reports conducting various weekly, monthly, quarterly and annual checks; creating annual trainings; conducting 3120 testing; maintaining and advising on 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.

• 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 related to business practices and develop and enforce policies and procedures as applicable. Periodically test these processes.
• 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 as needed to ensure compliance with various legal and regulatory obligations.
• Assist with responding to regulatory inquiries.
• Create, update, and enforce policies and procedures, and associated training materials.
• Deliver presentations related to compliance matters to large and small groups of Baird Associates.

• 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.

• Bachelor’s degree and 3-5 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 some experience with relevant rules and regulations, including SEC Regulation M; SEC Rules 137, 138, 139, FINRA Rule 2241, the JOBs Act, Regulation AC and Regulation FD.
• A willingness to research, interpret and apply other SEC and FINRA rules and regulations.
• 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 hold SIE, the Series 7 and 24 licenses or ability to obtain within 6-12 months.
• Willingness to travel domestically several times per year.

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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.