Baird

Compliance Analyst - PWM Surveillance

As a Compliance Analyst you will work to ensure the accurate and effective surveillance of retail brokerage and investment advisory activity. The PWM Surveillance Compliance Analyst will assist in identifying, investigating, and resolving potential sales practice issues related to retail client activity. The position requires extensive interaction with associates throughout the firm’s Private Wealth Management business, Compliance, and the firm’s Corporate Resource Groups. In addition to knowledge of brokerage products, rules, and practices, comprehensive knowledge of Investment Advisory rules is a plus.

As a PWM Surveillance Compliance Analyst, you will:

• Effectively review and analyze exception reports, and other information sources, designed to identify issues related to retail brokerage and investment advisory transactions. Resolve issues as necessary.
• Investigate and resolve questionable transactions, activity, and funds movements in client accounts.
• Serve as a compliance resource for the branch system.
• Participate with the Compliance Surveillance team in projects and discussions with associates across all Client Resource Groups.

What makes this opportunity great:

• A supportive environment that will enable you to grow as a professional.
• Unique culture that values diverse backgrounds and perspectives while emphasizing teamwork and a strong sense of partnership.
• Support and flexibility to grow and be your best at work, at home, and in the community.

What we look for:

• Entry level opportunity with 0-2 years professional work experience; brokerage/investment advisory compliance, supervision or operations experience a plus.
• Bachelor’s degree or equivalent of education and work experience.
• Strong verbal and written communication skills.
• Demonstrated investigative/surveillance experience a plus.
• Proficient with technology including Microsoft Office products (especially Excel).
• Ability to work independently and manage multiple priorities simultaneously.
• SIE, Series 7 and 24 registrations recommended within 2 years.

#DI

#LI-RE1

Baird is committed to diversity and provides employment opportunities to all employees and applicants for employment without regard to race, color, religion, sex, pregnancy, citizenship, national origin, age, disability, military service, veteran status, sexual orientation, gender identity or expression, genetic information, or any other status protected by law.