Primarily responsible for ensuring the laws, regulations and ethical standards of the securities industry are properly applied within the firm's PWM business. New Baird Associates will be provided extensive individual and team training. The position will be required to complete and lead material PWM Compliance projects and initiatives. This associate will work closely with the Assistant Compliance Director of the Sales Practice Unit.
This role will work closely with the Assistant Compliance Director of the Sales Practice Unit to assist in design and implementation of tools to efficiently and effectively review for and prevent compliance deficiencies in branch offices and resolve issues as they occur. Associates will be required to use a variety of software tools and systems to execute their responsibilities. The ability to drive material Investment Advisory (IA) reports, findings and tasks will be critical. The role will require some travel (10-15%) to conduct branch exams and attend industry training. This role will interact frequently with sales management and Compliance Administrative Managers. The candidate must be well versed in sales practice issues, products offered to the firm's clients and have the ability to resolve sales practice issues as they are discovered.
ESSENTIAL DUTIES AND RESPONSIBILITIES:
1. Work with PWM and Home Office/CRG Associates to enforce firm policies and procedures.
2. Work extensively on the telephone with calls from PWM and Home Office/CRG Associates.
3. Perform detailed research and analysis of PWM and Home Office/CRG Compliance requests.
4. Work with PWM and Home Office/CRG to drive material compliance projects from beginning to end.
5. Ensure that daily reviews have been conducted by various Branch Office Managers (BOMs), Compliance Administrative Managers (CAMs) and their delegates and ensure compliance practices are followed on a regular basis.
6. Review periodic compliance reports with an Investment Advisory (IA) focus.
7. Work with and support other Associates within the Sales Practice Unit.
8. Must have the ability to travel for branch office examinations and industry training – approximately 10-15% travel required.
1. 3-5 years of experience in the financial services industry.
2. Strong technical writing skills with the ability to interpret securities laws and produce effective written policies & procedures.
3. FINRA Series 7 and 66 licenses, with the ability and desire to quickly obtain Series 23 or 24, Series 9/10, and Wisconsin insurance licenses.
4. Ability to multitask and demonstrate flexibility to perform special projects as required.
5. Exceptional verbal communication skills; ability to communicate with all levels of management; strong presentation skills.
6. Exceptional written communication skills; writing samples or writing exam required.
7. Experience with project management and leadership experience highly desired.
8. Bachelor degree in Business, Finance, or Accounting. Other educational backgrounds will be considered relative to experience. Graduate work desirable (JD or CPA). Aptitude and experience in compliance and securities regulation preferred.
9. Knowledge of brokerage securities products and services a plus.
10. Background in Investment Advisory (IA) compliance very desirable.
Robert W. Baird - 17 months ago
Employee-owned Robert W. Baird & Co. brings midwestern sensibility to the high-flying world of investment banking. The company offers...