Baird

  • Boston, MA, USA
Nov 22, 2021
Baird Remote * (Louisville, KY, USA)
We have an exciting opportunity to join our Compliance team as a Control Room Senior Compliance Officer. While this role is traditionally based in our Milwaukee or Louisville offices, we are open to a 100% remote arrangement. If you have 5-7 years of Control Room experience and enjoy working autonomously, this is for you! The Control Room Senior Compliance Officer will be primarily responsible for the day to day operations of the Control Room including: liaising with the Research and Investment Banking Departments; developing and maintaining a solid understanding of all applicable laws and regulations related to these businesses; providing advisory services concerning Baird's information barrier compliance program; maintenance of the watch list and restricted list; identifying and addressing conflicts of interest; creating, updating, and enforcing written policies and procedures, and generally maintaining high ethical standards as required by Baird and the securities industry. As...
Nov 21, 2021
Baird Remote * (Boston, MA, USA)
We have an exciting opportunity to join our Compliance team as a Control Room Senior Compliance Officer. While this role is traditionally based in our Milwaukee or Louisville offices, we are open to a 100% remote arrangement. If you have 5-7 years of Control Room experience and enjoy working autonomously, this is for you! The Control Room Senior Compliance Officer will be primarily responsible for the day to day operations of the Control Room including: liaising with the Research and Investment Banking Departments; developing and maintaining a solid understanding of all applicable laws and regulations related to these businesses; providing advisory services concerning Baird's information barrier compliance program; maintenance of the watch list and restricted list; identifying and addressing conflicts of interest; creating, updating, and enforcing written policies and procedures, and generally maintaining high ethical standards as required by Baird and the securities industry. As...
Nov 12, 2021
Baird Remote * (Tampa, FL, USA)
We have an exciting opportunity to join our Compliance team as a Control Room Senior Compliance Officer. While this role is traditionally based in our Milwaukee or Louisville offices, we are open to a 100% remote arrangement. If you have 5-7 years of Control Room experience and enjoy working autonomously, this is for you! The Control Room Senior Compliance Officer will be primarily responsible for the day to day operations of the Control Room including: liaising with the Research and Investment Banking Departments; developing and maintaining a solid understanding of all applicable laws and regulations related to these businesses; providing advisory services concerning Baird's information barrier compliance program; maintenance of the watch list and restricted list; identifying and addressing conflicts of interest; creating, updating, and enforcing written policies and procedures, and generally maintaining high ethical standards as required by Baird and the securities industry. As...
Nov 12, 2021
Baird Remote * (Milwaukee, WI, USA)
We have an exciting opportunity to join our Compliance team as a Control Room Senior Compliance Officer. While this role is traditionally based in our Milwaukee or Louisville offices, we are open to a 100% remote arrangement. If you have 5-7 years of Control Room experience and enjoy working autonomously, this is for you! The Control Room Senior Compliance Officer will be primarily responsible for the day to day operations of the Control Room including: liaising with the Research and Investment Banking Departments; developing and maintaining a solid understanding of all applicable laws and regulations related to these businesses; providing advisory services concerning Baird's information barrier compliance program; maintenance of the watch list and restricted list; identifying and addressing conflicts of interest; creating, updating, and enforcing written policies and procedures, and generally maintaining high ethical standards as required by Baird and the securities industry. As...