Compliance Officer – PWM Branch Support and Oversight
at Robert W Baird
Louisville, Kentucky, USA -
| Start Date | Expiry Date | Salary | Posted On | Experience | Skills | Telecommute | Sponsor Visa |
|---|---|---|---|---|---|---|---|
| Immediate | 11 Aug, 2024 | Not Specified | 15 May, 2024 | N/A | Good communication skills | No | No |
Required Visa Status:
| Citizen | GC |
| US Citizen | Student Visa |
| H1B | CPT |
| OPT | H4 Spouse of H1B |
| GC Green Card |
Employment Type:
| Full Time | Part Time |
| Permanent | Independent - 1099 |
| Contract – W2 | C2H Independent |
| C2H W2 | Contract – Corp 2 Corp |
| Contract to Hire – Corp 2 Corp |
Description:
This is a great opportunity to join Baird’s Compliance Team supporting the firm’s Private Wealth Management (PWM) business as we continue to grow. The Branch Oversight Team within the PWM Compliance Unit is responsible for several core compliance functions, including branch office inspections, oversight of PWM Supervision, PWM recruit interviews, and general compliance training and support.
The Compliance Officer will be responsible for discovering, escalating, resolving, and following-up on complex issues related to the PWM business unit. The position requires extensive interaction with all levels of PWM branch associates, and a strong working knowledge of brokerage and Investment Advisory business is beneficial.
Responsibilities:
Please refer the Job description for details
REQUIREMENT SUMMARY
Min:N/AMax:5.0 year(s)
Financial Services
Accounts / Finance / Tax / CS / Audit
Finance
Graduate
Proficient
1
Louisville, KY, USA
