About the Role:
We are seeking a detail-oriented and collaborative compliance professional to join our Corporate Compliance team. In this role, you will oversee key compliance processes related to associate training, regulatory questionnaires, and disclosure requirements while serving as a trusted advisor on firm policies, procedures, and regulatory obligations.
You will work closely with associates and business partners across the organization to address compliance-related inquiries and support the identification, investigation, and resolution of potential compliance risks. This role requires strong knowledge of FINRA and SEC regulations, exceptional organizational skills, and the ability to balance regulatory requirements with a service-oriented approach.
This position offers flexibility with 3 days per week in our Milwaukee office and 2 days remote.
The Impact You’ll Make:
Reviews, interprets, and analyzes higher risk and more complex associate requests, registrations and disclosures.
Collaborate with Compliance Analytics Team, Business Process and IT team members to develop new workflows or implement process enhancements, oftentimes managing several project lanes at one time.
Ensure associate training, attestation, registration and disclosure responsibilities are completed and documented in accordance with the firm’s policies and procedures by tracking progress of completion and following up on outstanding requirements, escalating when necessary.
Monitor and report on associate disclosures. Identify business risks and recommend improvements.
Provide assistance to associates regarding compliance issues, firm policies, procedures and industry regulations as they pertain to the Corporate Compliance function.
Actively participate in, research and execute on ad-hoc projects led by the Corporate Compliance team.
What You’ll Bring to Baird:
3-5 years of compliance or financial services experience, broker-dealer and/or investment advisor preferred
Prior Registrations experience preferred
SIE, Series 7, 24 preferred
Bachelor’s degree or equivalent of education and work experience
Proficient with technology including Microsoft Office products (especially Word and Excel)
Exceptional organizational and work-flow management skills, with strong attention to detail
Demonstrated ability to handle difficult situations with candor and professionalism across all levels of the organization, both verbal and written
Ability to collaborate across multiple groups and manage multiple priorities simultaneously
Compensation and Benefits:
Compensation and bonus are commensurate with experience, performance and/or firm profitability
You’ll have the opportunity to advance your career while enjoying our comprehensive benefits designed for your life, career and future.
#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.
Skills Required
- 3-5 years of compliance or financial services experience (broker-dealer and/or investment advisor preferred)
- Strong knowledge of FINRA and SEC regulations
- Prior registrations experience
- SIE, Series 7, Series 24
- Bachelor's degree or equivalent education/work experience
- Proficient with Microsoft Office (especially Word and Excel)
- Exceptional organizational and workflow management skills with strong attention to detail
- Ability to handle difficult situations with candor and professionalism, verbally and in writing
- Ability to collaborate across multiple groups and manage multiple priorities
Baird Compensation & Benefits Highlights
The following summarizes recurring compensation and benefits themes identified from responses generated by popular LLMs to common candidate questions about Baird and has not been reviewed or approved by Baird.
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Retirement Support — Retirement offerings are positioned as a major strength, including a strong 401(k) with matching and profit-sharing contributions, plus access to financial planning support. Long-term wealth building is further reinforced through employee ownership and stock purchase opportunities.
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Leave & Time Off Breadth — Time-off benefits are framed as generous, including unlimited PTO in some descriptions, paid holidays, and paid volunteer time. Flex time and work-from-home options are also included as part of the broader work-life package.
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Healthcare Strength — Health coverage is described as comprehensive, spanning medical, dental, vision, and mental health support, alongside wellness programs and HSA/FSA options. Preventive care and employer contributions toward HSA/deductibles are highlighted as part of the design.
Baird Insights
What We Do
Founded in 1919, Baird has guided families, businesses, communities and institutions toward their financial goals for a century. Today employee-owned Baird offers wealth management, investment banking, asset management, institutional sales and trading, equity research, public finance and private equity services through more than 160 offices in the United States, Europe and Asia. Baird manages and oversees more than $305 billion in assets for clients around the world and employs more than 4,600 associates. Baird has been one of FORTUNE’s 100 Best Companies to Work For® since 2004, and is committed to policies and practices that provide equal employment opportunity at all times. These non-discriminatory practices apply to all areas of employment including: hiring, promotions, terminations, compensation, benefits and educational opportunities. “Baird” is the marketing name for Robert W. Baird & Co., Incorporated and subsidiaries and affiliates worldwide. For more information, please visit www.rwbaird.com.
