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Company Name:
Approximate Salary:
Per Year
Milwaukee, Wisconsin
United States
Position type:
Full Time
Experience level:
Entry Level
Education level:
Bachelor's Degree

Compliance Analyst- Capital Markets

We are seeking a talented and motivated individual who will be primarily responsible for reviewing and analyzing trading data/surveillance reports for the equity trading business. This role conducts trade surveillance to monitor business activities to ensure compliance with Baird policies and regulatory obligations; conducts the investigation and documentation of exceptions; and escalates issues towards resolution and remediation.

As a Compliance Analyst on the Capital Markets team, you will:
  • Review and analyze daily, monthly, and other periodic compliance reports and initiate corrective action as necessary.
  • 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 coordinate the firm's branch office examination program as it pertains to Capital Markets. Schedule and conduct branch examinations to ensure compliance with applicable securities industry regulations and the Firm's policies and procedures; prepare written reports to senior management documenting all areas of non-compliance.
  • Develop and deliver compliance training as needed.
  • Perform other duties as assigned.
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. Compliance pnd 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.
  • Ability to use, understand and compare large data sets.
  • Strong analytical, organizational, and problem solving skills.
  • 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.
  • Series 7 and 24 a plus or willingness to promptly obtain them.
  • Must be willing to travel (up to 10%).

Who we are:
Baird is an employee owned, international wealth management, capital markets, private equity and asset management firm with more than 100 offices in the United States, Europe and Asia. Established in 1919, Baird has more than $171 billion in client assets and over 3,300 associates serving the needs of individual, corporate, institutional and municipal clients.

Baird has built an environment of trust, respect and teamwork, where associates are our greatest asset. Committed to being a great place to work, Baird ranked No. 4 on the Fortune Magazine Top 100 Best Companies to Work For in 2017, its fourteenth consecutive year on the list. To learn more about Baird's culture, click here.