In this role, you will oversee key compliance processes related to associate training, regulatory questionnaires, and disclosure requirements while serving as a trusted advisor on firm policies ...
In this role, you will oversee key compliance processes related to associate training, regulatory questionnaires, and disclosure requirements while serving as a trusted advisor on firm policies ...
In this role, you will oversee key compliance processes related to associate training, regulatory questionnaires, and disclosure requirements while serving as a trusted advisor on firm policies ...
In this role, you will oversee key compliance processes related to associate training, regulatory questionnaires, and disclosure requirements while serving as a trusted advisor on firm policies ...
In this role, you will oversee key compliance processes related to associate training, regulatory questionnaires, and disclosure requirements while serving as a trusted advisor on firm policies ...
In this role, you will oversee key compliance processes related to associate training, regulatory questionnaires, and disclosure requirements while serving as a trusted advisor on firm policies ...
Compliance Manager
Milwaukee, WI · On-site
The Compliance Manager is responsible for developing, implementing, and overseeing the organization's compliance program to ensure adherence to federal and state regulations, healthcare and privacy ...
Compliance Manager
Milwaukee, WI · On-site
The Compliance Manager is responsible for developing, implementing, and overseeing the organization's compliance program to ensure adherence to federal and state regulations, healthcare and privacy ...
Compliance Analyst
Milwaukee, WI · On-site
$26 - $30/hr
We are looking for a Compliance Analyst to support compliance-related operations for a financial services environment in Milwaukee, Wisconsin. This Long-term Contract position is ideal for someone ...
New
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Compliance Analyst
Milwaukee, WI · On-site
$26 - $30/hr
We are looking for a Compliance Analyst to support compliance-related operations for a financial services environment in Milwaukee, Wisconsin. This Long-term Contract position is ideal for someone ...
New
The Compliance Engineer is responsible for ensuring that all products meet applicable global regulatory, safety, and electromagnetic compatibility (EMC) requirements. This role partners closely with ...
The Compliance Engineer is responsible for ensuring that all products meet applicable global regulatory, safety, and electromagnetic compatibility (EMC) requirements. This role partners closely with ...
Compliance Engineer
Waukegan, IL · On-site
The Compliance Engineer is responsible for ensuring that all products meet applicable global regulatory, safety, and electromagnetic compatibility (EMC) requirements. This role partners closely with ...
Compliance Engineer
Waukegan, IL · On-site
The Compliance Engineer is responsible for ensuring that all products meet applicable global regulatory, safety, and electromagnetic compatibility (EMC) requirements. This role partners closely with ...
Compliance Lead
Milwaukee, WI · On-site
$154K/yr
Compliance operations & continuous improvement * Maintain centralized audit evidence repositories, trackers, and dashboards to support repeatable global compliance processes. * Support the use of ...
Compliance Lead
Milwaukee, WI · On-site
$154K/yr
Compliance operations & continuous improvement * Maintain centralized audit evidence repositories, trackers, and dashboards to support repeatable global compliance processes. * Support the use of ...
Compliance Lead
Milwaukee, WI · On-site
$154K/yr
Compliance operations & continuous improvement * Maintain centralized audit evidence repositories, trackers, and dashboards to support repeatable global compliance processes. * Support the use of ...
Compliance Lead
Milwaukee, WI · On-site
$154K/yr
Compliance operations & continuous improvement * Maintain centralized audit evidence repositories, trackers, and dashboards to support repeatable global compliance processes. * Support the use of ...
Compliance Officer
Gurnee, IL · On-site
$55K - $92K/yr
The Compliance Officer is responsible for administering and improving all aspects of the credit union's compliance management program. This position plans and organizes the administrative, lending ...
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Compliance Officer
Gurnee, IL · On-site
$55K - $92K/yr
The Compliance Officer is responsible for administering and improving all aspects of the credit union's compliance management program. This position plans and organizes the administrative, lending ...
Compliance Officer
Milwaukee, WI · On-site
As a Compliance Officer, you will collaborate with operations leadership to research, design, and develop Policies & Procedures, and other Compliance related initiatives, that strengthen the ...
Compliance Officer
Milwaukee, WI · On-site
As a Compliance Officer, you will collaborate with operations leadership to research, design, and develop Policies & Procedures, and other Compliance related initiatives, that strengthen the ...
Compliance Officer
Milwaukee, WI · On-site
As a Compliance Officer, you will collaborate with operations leadership to research, design, and develop Policies & Procedures, and other Compliance related initiatives, that strengthen the ...
Compliance Officer
Milwaukee, WI · On-site
As a Compliance Officer, you will collaborate with operations leadership to research, design, and develop Policies & Procedures, and other Compliance related initiatives, that strengthen the ...
Focused on compliance support of Northwestern Mutual's registered investment adviser and private fund products. May also work in support of other department and team compliance responsibilities ...
Focused on compliance support of Northwestern Mutual's registered investment adviser and private fund products. May also work in support of other department and team compliance responsibilities ...
Focused on compliance support of Northwestern Mutual's registered investment adviser and private fund products. May also work in support of other department and team compliance responsibilities ...
Focused on compliance support of Northwestern Mutual's registered investment adviser and private fund products. May also work in support of other department and team compliance responsibilities ...
Join us today as the Senior Compliance Specialist! First Business Bank is a Top Workplaces USA company, learn more here. At the heart of First Business Bank, we believe success comes down to putting ...
New
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Join us today as the Senior Compliance Specialist! First Business Bank is a Top Workplaces USA company, learn more here. At the heart of First Business Bank, we believe success comes down to putting ...
New
Join us today as the Senior Compliance Specialist! First Business Bank is a Top Workplaces USA company, learn more here. At the heart of First Business Bank, we believe success comes down to putting ...
New
Join us today as the Senior Compliance Specialist! First Business Bank is a Top Workplaces USA company, learn more here. At the heart of First Business Bank, we believe success comes down to putting ...
New
Join us today as the Senior Compliance Specialist! First Business Bank is a Top Workplaces USA company, learn morehere. At the heart of First Business Bank, we believe success comes down to putting ...
Join us today as the Senior Compliance Specialist! First Business Bank is a Top Workplaces USA company, learn morehere. At the heart of First Business Bank, we believe success comes down to putting ...
Legal Compliance Manager
Racine, WI · On-site
$0.05 - $0.07/hr
**Legal Compliance Manager ** We are seeking a Direct Hire Legal Compliance Manager to oversee regulatory and legal compliance across manufacturing operations. Once part of the team, you will play a ...
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Legal Compliance Manager
Racine, WI · On-site
$0.05 - $0.07/hr
**Legal Compliance Manager ** We are seeking a Direct Hire Legal Compliance Manager to oversee regulatory and legal compliance across manufacturing operations. Once part of the team, you will play a ...
Focused on compliance support of Northwestern Mutual's registered investment adviser and private fund products. May also work in support of other department and team compliance responsibilities ...
Focused on compliance support of Northwestern Mutual's registered investment adviser and private fund products. May also work in support of other department and team compliance responsibilities ...
Director of Compliance
Milwaukee, WI · On-site
The Director of Compliance works closely with program leadership, ERSEA, health, family engagement, education, HR, finance, facilities, and executive leadership to ensure Next Door is prepared ...
Director of Compliance
Milwaukee, WI · On-site
The Director of Compliance works closely with program leadership, ERSEA, health, family engagement, education, HR, finance, facilities, and executive leadership to ensure Next Door is prepared ...
Compliance information
See Racine, WI salary details
$29.5K - $44.5K
10% of jobs
$56.6K is the 25th percentile. Wages below this are outliers.
$44.5K - $59.5K
19% of jobs
$59.5K - $74.5K
19% of jobs
The median wage is $76.4K / yr.
$74.5K - $89.5K
17% of jobs
$99.7K is the 75th percentile. Wages above this are outliers.
$89.5K - $104.6K
15% of jobs
$104.6K - $119.6K
6% of jobs
$119.6K - $134.6K
5% of jobs
$134.6K - $149.6K
3% of jobs
$149.6K - $164.6K
2% of jobs
$164.6K - $179.6K
2% of jobs
$179.6K - $194.6K
1% of jobs
$29.5K
$92.8K
$194.6K
How much do compliance jobs pay per year?
What are some typical challenges faced by professionals in a compliance role, and how can they effectively address them?
What are the key skills and qualifications needed to thrive as a compliance professional?
What is a compliance officer?
How to get a job in compliance?
The qualifications that you need to start a career in compliance depend on the position for which you are applying. Most employers require a bachelor’s degree for entry-level compliance positions. Your company may be willing to help new employees develop skills through on-the-job training. The best major depends on the field in which you want to work. Fields like legal studies, finance, accounting, or management are all common. Management level certifications are also available. These include a Certified Regulatory Compliance Manager (CRCM) accreditation, which is relevant for compliance managers dealing with regulations in the banking industry.

Full-time
Posted 18 days ago
Job description
We are seeking a detail-oriented and collaborative compliance professional to join our Corporate Compliance team. In this role, you will oversee key compliance processes related to associate training, regulatory questionnaires, and disclosure requirements while serving as a trusted advisor on firm policies, procedures, and regulatory obligations.
You will work closely with associates and business partners across the organization to address compliance-related inquiries and support the identification, investigation, and resolution of potential compliance risks. This role requires strong knowledge of FINRA and SEC regulations, exceptional organizational skills, and the ability to balance regulatory requirements with a service-oriented approach.
This position offers flexibility with 3 days per week in our Milwaukee office and 2 days remote.
The Impact You'll Make:
- Reviews, interprets, and analyzes higher risk and more complex associate requests, registrations and disclosures.
- Collaborate with Compliance Analytics Team, Business Process and IT team members to develop new workflows or implement process enhancements, oftentimes managing several project lanes at one time.
- Ensure associate training, attestation, registration and disclosure responsibilities are completed and documented in accordance with the firm's policies and procedures by tracking progress of completion and following up on outstanding requirements, escalating when necessary.
- Monitor and report on associate disclosures. Identify business risks and recommend improvements.
- Provide assistance to associates regarding compliance issues, firm policies, procedures and industry regulations as they pertain to the Corporate Compliance function.
- Actively participate in, research and execute on ad-hoc projects led by the Corporate Compliance team.
What You'll Bring to Baird:
- 3-5 years of compliance or financial services experience, broker-dealer and/or investment advisor preferred
- Prior Registrations experience preferred
- SIE, Series 7, 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
Compensation and Benefits:
- Compensation and bonus are commensurate with experience, performance and/or firm profitability
- You'll have the opportunity to advance your career while enjoying our comprehensive benefits designed for your life, career and future.
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Baird is committed to diversity and provides employment opportunities to all employees and applicants for employment without regard to race, color, religion, sex, pregnancy, citizenship, national origin, age, disability, military service, veteran status, sexual orientation, gender identity or expression, genetic information, or any other status protected by law.