Compliance Officer – Corporate Compliance

Baird

. Oversee compliance processes related to associate training, regulatory questionnaires, and disclosure requirements .

Posted 9/21/2026full-timeUnited StatesMid-LevelSenior💰 $75,000 - $85,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

Use this summary to align your resume positioning with the role.

Demonstrates expertise in compliance processes, regulatory obligations, and associate training management. Proficient in analyzing complex requests and collaborating with cross-functional teams to enhance workflows and ensure adherence to industry regulations.

Highest-signal resume keywords

Compliance Processes ManagementRegulatory Obligations AdvisoryProject ManagementMicrosoft Office ProficiencyBroker-Dealer Experience

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Compliance AnalysisRegulatory QuestionnairesDisclosure RequirementsAssociate Training ManagementRisk IdentificationProcess EnhancementRegistrations ExperienceSIE CertificationSeries 7 CertificationSeries 24 Certification

Soft Skills

Organizational SkillsAttention to DetailProfessionalismCollaborationCommunication Skills

Tools & Technologies

Microsoft WordMicrosoft Excel

Certifications & Qualifications

SIESeries 7Series 24

Industry Keywords

Financial ServicesBroker-DealerInvestment AdvisorCorporate Compliance

About the role

Key responsibilities & impact

Oversee compliance processes related to associate training, regulatory questionnaires, and disclosure requirements
Serve as a trusted advisor on firm policies, procedures, and regulatory obligations
Review, interpret, and analyze higher-risk and more complex associate requests, registrations, and disclosures
Collaborate with Compliance Analytics, Business Process, and IT teams to develop workflows and implement process enhancements
Manage multiple project lanes simultaneously
Track associate training, attestation, registration, and disclosure completion; follow up on outstanding requirements and escalate when necessary
Monitor and report on associate disclosures, identify business risks, and recommend improvements
Assist associates with compliance issues, firm policies, procedures, and industry regulations
Participate in, research, and execute ad-hoc Corporate Compliance projects

Requirements

What you’ll need

3-5 years of compliance or financial services experience
Broker-dealer and/or investment advisor experience preferred
Prior Registrations experience preferred
SIE, Series 7 and 24 preferred
Bachelor’s degree or equivalent of education and work experience
Proficient with technology including Microsoft Office products, especially Word and Excel
Exceptional organizational and work-flow management skills with strong attention to detail
Demonstrated ability to handle difficult situations with candor and professionalism across all levels of the organization, both verbal and written
Ability to collaborate across multiple groups and manage multiple priorities simultaneously

Benefits

Comp & perks

Bonus potential up to 20% of base pay
Comprehensive benefits designed for your life, career and future
Hybrid work arrangement with 3 days per week in office and 2 days remote
Opportunity to advance your career