About Us
Robert W. Baird Group Ltd. is a leading financial services firm with a strong commitment to integrity, excellence, and teamwork. We provide a wide range of services, including investment banking, fixed income capital markets, institutional equity sales & trading, private equity, and more. Our team is dedicated to delivering exceptional results for our clients while maintaining the highest standards of compliance and legal integrity.
About The Role
Join a dynamic Legal & Compliance team where collaboration spans across seven high-impact business units including Investment Banking, Private Equity, and Institutional Sales. As a Legal & Compliance Analyst, you’ll play a pivotal role in shaping regulatory strategy and operational integrity across European offices. This role offers breadth of exposure—from AML and surveillance to data privacy and governance—providing direct visibility to senior leadership and cross-border initiatives.
The Impact You'll Make
* Assist with AML & KYC processes, including client account opening and sanction checks.
* Review transaction and trade reports, and conduct automated surveillance.
* Support data protection responsibilities.
* Conduct compliance monitoring activities across European offices.
* Oversee and maintain compliance registers.
* Assist with the review and drafting of contracts, NDAs, and other legal documents.
* Prepare management reports for Board Meetings.
* Update and enhance compliance procedures manuals.
* Provide compliance training and support for new joiner processes.
* Stay up-to-date with regulatory and industry updates.
What You'll Bring To Baird
* High level of tenacity and a 'can do' attitude.
* Ability to work to tight deadlines while maintaining high standards.
* Strong teamwork and independent work capabilities.
* Ability to identify and escalate inefficiencies and risks.
* Adaptability to meet business needs without compromising standards.
* Superior organization, prioritization, and administrative skills.
* Flexibility to work in an ever-changing environment.
* Personable and approachable with good energy.
* Minimum of 1 to 2 years of experience in a financial services environment.
* Some experience in a relevant field, e.g., compliance monitoring or financial crime preferred.
* Legal background preferable.
Baird is committed to diversity and provides equal 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.
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