Hybrid Compliance Officer, Corporate Regulatory & Training
bairdLouisville, KY
Hybrid Compliance Officer, Corporate Regulatory & Training
L5
bairdLouisville, KYyesterday
Occupations
Compliance ManagersCompliance OfficersSecurities, Commodities, and Financial Services Sales AgentsIndustries
Investment Banking and Securities IntermediationMiscellaneous IntermediationPortfolio Management and Investment AdviceBaird in Louisville is seeking a detail-oriented compliance professional to join our Corporate Compliance team. You will oversee associate training, regulatory questionnaires, and disclosures, serving as a trusted advisor on firm policies and regulatory obligations. This hybrid role requires 3 days in the office and 2 days remote.
Ideal candidates have 3–5 years in compliance or financial services, with FINRA/SEC knowledge. SIE, Series 7 and 24 are preferred.
Apply now
Level
SeniorL5
Location
Louisville, KY
Occupation
Compliance Managers
Industry
Investment Banking and Securities Intermediation
Posted
yesterday
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