Branch Compliance Administrator

About Baird

Baird, established in 1919, is an employee-owned international wealth management, capital markets, private equity and asset management firm with offices in the United States, Europe and Asia. Baird’s principal operating subsidiaries are Robert W. Baird & Co. in the United States and Robert W. Baird Group Ltd. in Europe. Baird also has an operating subsidiary in Asia supporting Baird’s private equity operations.

Committed to being a great place to work, Baird is one of FORTUNE magazine’s “100 Best Companies to Work For” in 2006 and was also included on the magazine’s 2005 and 2004 lists. Robert W. Baird & Co. is a member of the New York Stock Exchange and other principal exchanges and the Securities Investor Protection Corporation (SIPC). Robert W. Baird Ltd. and Baird Capital Partners Europe Ltd. are authorized and regulated in the United Kingdom by the Financial Services Authority.

SUMMARY:

We are seeking an individual who has a true interest in compliance to oversee our branch compliance activities. This person works closely with the Branch Manager and Compliance department and will be expected to increase their knowledge and application of the laws, regulations and ethical standards of the securities industry.

DUTIES AND RESPONSIBILITIES:

1. Performs daily, monthly and annual compliance reviews indicated on the Branch Office Manager’s Letter of Delegation.

2. Reviews a high volume of incoming and outgoing branch e-mails through Assentor to ensure that they are complying with policies and compliance regulations.

3. Performs trade reviews, P/L analysis, new account, margin and option form review and trade corrections.

4. Enforces firm policies and procedures within the branch. Researches and problem solves issues, escalating to Branch Manager if necessary.

5. Ensures branch is prepared for internal audits and branch compliance reviews. Maintains branch office files required to meet compliance standards and retention requirements

6. Trainings and educates branch associates on compliance related topics

7. Performs any other duties and special projects as necessary.

QUALIFICATIONS REQUIRED:

1. Bachelor’s degree in business strongly preferred. 5+ years of experience in the financial services industry and knowledge of compliance regulations.

2. Series 7 and series 63 required in addition to completion of a 9/10 and Wisconsin Insurance License within 3 months of assuming role.

3. Superior understanding of branch office functions and services/Securities Industry background.

4. Exceptional oral and written communication skills along with strong organizational skills and analytical skills.

5. Advanced PC skills with demonstrated knowledge and application of word processing and spreadsheet packages.

APPLY NOW

You will receive an acknowledgement from our system of a successful receipt of your resume and we will contact you if interested.

Thank You. Robert W. Baird is an Equal Opportunity Employer.