What are the responsibilities and job description for the PWM Surveillance Compliance Analyst or Officer position at Baird?
We have a new opportunity to join our Compliance team as a Private Wealth Management (PWM) Surveillance Compliance Analyst or Officer! You will work to ensure the accurate and effective surveillance of retail brokerage and investment advisory activity. The PWM Surveillance Compliance Analyst or Officer will assist in identifying, investigating, and resolving potential sales practice issues related to retail client activity. The position requires extensive interaction with associates throughout the firm’s Private Wealth Management business, Compliance, and the firm’s Corporate Resource Groups. In addition to knowledge of brokerage products, rules, and practices, comprehensive knowledge of Investment Advisory rules is a plus.
As a PWM Surveillance Compliance Analyst or Officer, you will:
Effectively review and analyze exception reports, and other information sources, designed to identify issues related to retail brokerage and investment advisory transactions. Resolve issues as necessary.
Investigate and resolve questionable transactions, activity, and funds movements in client accounts.
Serve as a compliance resource for the branch system.
Serve as an escalation point for reviewing complicated activity and transactions.
Participate with the Compliance Surveillance team in projects and discussions with associates across all Client Resource Groups.
What makes this opportunity great:
Fast paced environment that will enable you to grow as a professional.
Unique culture that values diverse backgrounds and perspectives while emphasizing teamwork and a strong sense of partnership.
Support and flexibility to grow and be your best at work, at home, and in the community.
What we look for:
1-5 years of brokerage/investment advisory compliance, supervision, or operations experience.
Bachelor’s degree or equivalent of education and work experience.
Detailed knowledge of retail brokerage and investment advisor laws, rules, and regulations.
Strong verbal and written communication skills.
Demonstrated investigative/surveillance experience.
Proficient with technology including Microsoft Office products (especially Excel).
Ability to work independently and manage multiple priorities simultaneously.
Series 7, 24 (or 9/10) & 65/66 registrations preferred.
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