Compliance Analyst - Investment Banking
Global Investment Banking We are seeking a talented and motivated Investment Banking Compliance Analyst to join our highly collaborative compliance team! This person will perform a wide variety of compliance functions for the Global Investment Banking Department, including supervising the activities of investment banking associates in accordance with the firm's written supervisory procedures.
Additionally, this person will be expected to increase their knowledge of the investment banking business and have an excellent sense of organization and written and verbal skills.
A successful candidate will understand the laws, regulations, and ethical standards that govern the securities industry and will evolve to become a subject matter expert on policy and regulatory requirements on compliance tasks performed.
As an Investment Banking Compliance Analyst, you will:
Conduct compliance reviews on assigned supervisory topics as required by the firms written supervisory policies and procedures.
Must have the ability to enforce these policies, discover, escalate, resolve, and follow up on issues in a timely manner and provide appropriate recommendations.
Supervisory topics include, but are not limited to, review internal and external written and electronic communications (such as pitch book reviews and marketing communications), deal conflict checks, associate compliance disclosures and proper registration of associates.
Pre-clear associate trades and conduct daily associate account reviews.
Being a point of contact for investment banking associates and other compliance partners by effectively answering inquiries across various banking and compliance topics and providing approval when appropriate.
Provide oversight for the annual new hire S79 class, working closely with GIB's Talent Development associates, Registrations Dept.
and exam vendor to ensure successful onboarding and exam readiness of the summer investment banking hires.
Deliver new hire presentations and provide education on compliance topics, including but not limited to Banking Compliance policies, to small and large groups.
Cross train and become proficient on other team processes such as client onboarding tasks, deal file requirements and expense report reviews.
Create and maintain GIB Compliance internal written procedures.
Engage and collaborate with team members through the sharing of ideas and recommendations regarding best practice, continuous improvement, departmental processes, policies and procedures.
Develop and maintain excellent relationships with GIB associates and firm associates.
Participate in peer group discussions to drive ideas and best practices.
Assist with regulatory inquiries, examinations, and internal audits.
Provide back-up support for the GIB Compliance team and perform other duties as assigned.
Be available to address requests outside of normal business hours.
Must be willing to periodically travel to GIB locations.
What makes this opportunity great:
Compelling careers working side-by-side with the best in the business.
Team of associates passionate about achieving great results for clients and give back to the communities where we live and work.
Support and flexibility to grow and be your best at work, at home, and in the community.
What we look for:
Bachelor's Degree and 3
years of financial services, or industry experience such as supervision, compliance, or investment banking experience.
At minimum must hold the SIE, 7/79 and willingness to obtain the S79, 63, and 24 license(s) within 6 months.
Ethical, with a commitment to maintaining confidentiality and discretion.
High degree of professionalism.
Excellent ability to develop strategic relationships through building trust and credibility.
High level of curiosity and comfort with the unfamiliar or unknown.
Willingness to take on new challenges & embrace a continuous learning philosophy.
Ability to work as an effective leader and team player, show initiative, good judgment, and professionalism.
Ability to tolerate peak workloads, to deal with regular interruptions and to maintain flexibility and composure, poise and dignity in a high volume, high intensity environment.
Must be able to handle a variety of responsibilities with accuracy and reliability.
Exceptional communication and written skills - ability to communicate tactfully with all levels within the organization.
Computer skills including Word, Excel, Power Point and Outlook.
Experience using spreadsheets and databases with the ability to learn additional industry-specific software applications, such as Salesforce.
#LI-RE1 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.
Recommended Skills Auditing Business Process Improvement Confidentiality Databases Ethics Finance Estimated Salary: $20 to $28 per hour based on qualifications.
Additionally, this person will be expected to increase their knowledge of the investment banking business and have an excellent sense of organization and written and verbal skills.
A successful candidate will understand the laws, regulations, and ethical standards that govern the securities industry and will evolve to become a subject matter expert on policy and regulatory requirements on compliance tasks performed.
As an Investment Banking Compliance Analyst, you will:
Conduct compliance reviews on assigned supervisory topics as required by the firms written supervisory policies and procedures.
Must have the ability to enforce these policies, discover, escalate, resolve, and follow up on issues in a timely manner and provide appropriate recommendations.
Supervisory topics include, but are not limited to, review internal and external written and electronic communications (such as pitch book reviews and marketing communications), deal conflict checks, associate compliance disclosures and proper registration of associates.
Pre-clear associate trades and conduct daily associate account reviews.
Being a point of contact for investment banking associates and other compliance partners by effectively answering inquiries across various banking and compliance topics and providing approval when appropriate.
Provide oversight for the annual new hire S79 class, working closely with GIB's Talent Development associates, Registrations Dept.
and exam vendor to ensure successful onboarding and exam readiness of the summer investment banking hires.
Deliver new hire presentations and provide education on compliance topics, including but not limited to Banking Compliance policies, to small and large groups.
Cross train and become proficient on other team processes such as client onboarding tasks, deal file requirements and expense report reviews.
Create and maintain GIB Compliance internal written procedures.
Engage and collaborate with team members through the sharing of ideas and recommendations regarding best practice, continuous improvement, departmental processes, policies and procedures.
Develop and maintain excellent relationships with GIB associates and firm associates.
Participate in peer group discussions to drive ideas and best practices.
Assist with regulatory inquiries, examinations, and internal audits.
Provide back-up support for the GIB Compliance team and perform other duties as assigned.
Be available to address requests outside of normal business hours.
Must be willing to periodically travel to GIB locations.
What makes this opportunity great:
Compelling careers working side-by-side with the best in the business.
Team of associates passionate about achieving great results for clients and give back to the communities where we live and work.
Support and flexibility to grow and be your best at work, at home, and in the community.
What we look for:
Bachelor's Degree and 3
years of financial services, or industry experience such as supervision, compliance, or investment banking experience.
At minimum must hold the SIE, 7/79 and willingness to obtain the S79, 63, and 24 license(s) within 6 months.
Ethical, with a commitment to maintaining confidentiality and discretion.
High degree of professionalism.
Excellent ability to develop strategic relationships through building trust and credibility.
High level of curiosity and comfort with the unfamiliar or unknown.
Willingness to take on new challenges & embrace a continuous learning philosophy.
Ability to work as an effective leader and team player, show initiative, good judgment, and professionalism.
Ability to tolerate peak workloads, to deal with regular interruptions and to maintain flexibility and composure, poise and dignity in a high volume, high intensity environment.
Must be able to handle a variety of responsibilities with accuracy and reliability.
Exceptional communication and written skills - ability to communicate tactfully with all levels within the organization.
Computer skills including Word, Excel, Power Point and Outlook.
Experience using spreadsheets and databases with the ability to learn additional industry-specific software applications, such as Salesforce.
#LI-RE1 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.
Recommended Skills Auditing Business Process Improvement Confidentiality Databases Ethics Finance Estimated Salary: $20 to $28 per hour based on qualifications.
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