Compliance Officer - Public Communications
Compliance Officer - Public Communications Baird's Compliance Officer - Public Communications will be primarily responsible for ensuring that the laws, regulations and ethical standards of the securities industry are adhered to within Baird's communications.
The Compliance Officer will be thoroughly familiar with SEC, FINRA and MSRB rules as they relate to communications with retail and institutional investors.
The primary responsibility of the Compliance Officer will be to review and approve retail communications but will also include consulting and collaborating with the firm's businesses on their correspondence, institutional communications and internal training materials.
Additionally, the Compliance Officer may assist with supporting the firm's supervisory efforts through helping develop and test policies and procedures.
As a Compliance Officer, you will:
Provide principal approval of retail communications, and provide consultative services as a subject matter expert to internal business partners on correspondence, institutional communications and internal training materials.
Provide timely, clear and thoughtful guidance to other departments and team members on communications-related compliance matters.
Through high quality work standards, contribute a high level of initiative, the ability to act independently using sound judgment and rules-based principles when working within subjective and nuanced areas, be comfortable working with peers, and researching various regulations, notices and no-action letters to formulate decisions.
Assist with the development, writing, implementation and testing of supervisory policies and procedures relating to communications.
This includes continuous and proactive awareness and knowledge of securities laws, rules, and regulations.
File select communications with FINRA and assist in responding to regulatory inquiries regarding communications.
What makes this opportunity great:
A team that fosters a collaborative environment.
Unique culture that values diverse backgrounds and perspectives while emphasizing teamwork and a strong sense of partnership.
Team of associates passionate about achieving great results for clients and give back to the communities where we live and work.
What we look for:
Bachelor's degree with 2
years of experience in compliance, or 4
years of experience in operations or other brokerage environments.
Desire and ability to work, collaboratively and individually in effectively resolving issues, analyzing information and explaining it in an accurate manner, while focused on achieving positive outcomes.
Proficiency with Microsoft Office.
Candidate must possess an inquisitive nature and ability and desire to develop professional relationships with team members and internal clients in order to effectively communicate and interact with all areas of the firm regarding compliance matters.
Must have the Series 7 and 66 licenses with the ability to obtain the Series 24 within 3 months.
#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 Brokerage Communication Curiosity Ethics Financial Regulations Microsoft Office Estimated Salary: $20 to $28 per hour based on qualifications.
The Compliance Officer will be thoroughly familiar with SEC, FINRA and MSRB rules as they relate to communications with retail and institutional investors.
The primary responsibility of the Compliance Officer will be to review and approve retail communications but will also include consulting and collaborating with the firm's businesses on their correspondence, institutional communications and internal training materials.
Additionally, the Compliance Officer may assist with supporting the firm's supervisory efforts through helping develop and test policies and procedures.
As a Compliance Officer, you will:
Provide principal approval of retail communications, and provide consultative services as a subject matter expert to internal business partners on correspondence, institutional communications and internal training materials.
Provide timely, clear and thoughtful guidance to other departments and team members on communications-related compliance matters.
Through high quality work standards, contribute a high level of initiative, the ability to act independently using sound judgment and rules-based principles when working within subjective and nuanced areas, be comfortable working with peers, and researching various regulations, notices and no-action letters to formulate decisions.
Assist with the development, writing, implementation and testing of supervisory policies and procedures relating to communications.
This includes continuous and proactive awareness and knowledge of securities laws, rules, and regulations.
File select communications with FINRA and assist in responding to regulatory inquiries regarding communications.
What makes this opportunity great:
A team that fosters a collaborative environment.
Unique culture that values diverse backgrounds and perspectives while emphasizing teamwork and a strong sense of partnership.
Team of associates passionate about achieving great results for clients and give back to the communities where we live and work.
What we look for:
Bachelor's degree with 2
years of experience in compliance, or 4
years of experience in operations or other brokerage environments.
Desire and ability to work, collaboratively and individually in effectively resolving issues, analyzing information and explaining it in an accurate manner, while focused on achieving positive outcomes.
Proficiency with Microsoft Office.
Candidate must possess an inquisitive nature and ability and desire to develop professional relationships with team members and internal clients in order to effectively communicate and interact with all areas of the firm regarding compliance matters.
Must have the Series 7 and 66 licenses with the ability to obtain the Series 24 within 3 months.
#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 Brokerage Communication Curiosity Ethics Financial Regulations Microsoft Office Estimated Salary: $20 to $28 per hour based on qualifications.
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