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Compliance Analyst - Personal Activities
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Full-time
- The Personal Activities Compliance Analyst will p rovide assistance and guidance to Baird associates regarding compliance issues, firm policies and procedures, and industry regulations.
- The role will manage associate disclosure obligations and play a key role in the administration of the firm’s third-party technology solution used to execute Personal Activities related processes.
- Knowledge of FINRA/SEC rules, regulations, and practices along with broker-dealer rules and products is preferred.
- As a Compliance Analyst, You Will
- Actively participate in, and complete research as required, for projects led by the Personal Activities team
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