Company Name:
Approximate Salary:
Per Year
Location:
Chicago, Illinois
Country:
United States
Industry:
Accounting/Finance
Position type:
Full Time
Experience level:
Entry Level
Education level:
Bachelor's Degree

US Investment Banking Compliance Manager

Baird's Equity Capital Markets group includes more than 500 professionals in research, institutional sales and trading, and investment banking. Our Global Investment Banking group provides M&A, debt advisory, and equity and debt financing services to middle-market companies. There are approximately 270 banking professionals serving clients globally.

The US Investment Banking Compliance Manager plays a vital role in building and cultivating a culture of compliance among our Investment Banking staff as well as supporting a productive partnership with Baird's Compliance department. These activities are undertaken to ensure all regulatory requirements and policies required for our business or by the firm are adequately addressed. The Compliance Manager is a senior level position within Global Investment Banking and interfaces with a large number of stakeholders, including the Co-Heads of Global Investment Banking, the Chief Operating Officer of Global Investment Banking, Baird's Control Room and all US Investment Banking staff. The position requires creative and strategic thinking to identify solutions to a broad range of regulatory requirements. The position also requires the ability to comfortably advocate for Investment Banking's needs with Baird's Compliance, Technology and Risk Management teams. The Compliance Manager will build relationships with industry contacts at peer firms as well as manage a high performing team of compliance individuals.

As US Investment Banking Compliance Manager you will:
  • Gain a thorough understanding of our Global Investment Banking business.
  • Draft and enforce policies and procedures that allow US Investment Banking to satisfy all regulatory guidelines.
  • Proactively partner with investment banking staff to build a culture of compliance, including properly training staff on compliance procedures and providing relevant regulatory environment commentary at global staff meetings or via internal newsletters.
  • Provide guidance and support to the Co-Heads and Chief Operating Officer of Global Investment Banking on key regulatory trends, changes and practices.
  • Coordinate and support independent review of supervisory procedures by Internal Audit and Risk Management and communicate findings to Co-Heads of Global Investment Banking.
What makes this opportunity great:
  • Compelling careers working side-by-side with the best in the business
  • Fast paced environment that will enable you to grow as a professional
What we look for:
  • Bachelor's Degree in Business or Finance or a JD degree. 7-10 years of financial services industry experience, with at least 5 years of compliance related experience.
  • Strong interest and aptitude in the securities markets and the field of investment banking.
  • Strong oral and written communication skills. Ability to effectively and persuasively communicate with all levels of associates and management.
  • Strong leadership skills in dealing with processes, projects and people.
  • Broad based knowledge in the application of laws and regulations.
  • Experience in designing, managing and overseeing compliance programs and interfacing with legal and regulatory personnel.
  • Exceptional analytical, organizational and problem solving skills.
  • Teamwork orientation combined with an ability to achieve optimal solutions.
  • Demonstrated experience in managing, coaching and developing staff.
  • Ability to work in a high stress and fast paced environment and handle a wide range of tasks.
  • Must hold Series 24 license and have a willingness to earn the Series 7 license.
Who we are:
Baird is an employee owned, international wealth management, capital markets, private equity and asset management firm with offices in the United States, Europe and Asia. Established in 1919, Baird has more than $171 billion in client assets and over 3,300 associates serving the needs of individual, corporate, institutional and municipal clients.

Baird has built an environment of trust, respect and teamwork, where associates are our greatest asset. Committed to being a great place to work, Baird ranked No. 4 on Fortune's 100 Best Companies to Work For in 2017, its fourteenth consecutive year on the list. To learn more about Baird's culture, click here.