Compliance Analyst
Baker Tilly Virchow Krause, LLP
 Madison, WI

Overview

Baker Tilly Virchow Krause, LLP (Baker Tilly) is a leading advisory, tax and assurance firm whose specialized professionals guide clients through an ever-changing business world, helping them win now and anticipate tomorrow. Headquartered in Chicago, Baker Tilly, and its affiliated entities, have operations in North America, South America, Europe, Asia and Australia. Baker Tilly is an independent member of Baker Tilly International, a worldwide network of independent accounting and business advisory firms in 145 territories, with 34,700 professionals. The combined worldwide revenue of independent member firms is $3.6 billion. Visit bakertilly.com or join the conversation on LinkedIn, Facebook and Twitter.

It's an exciting time to join Baker Tilly!

Baker Tilly Annual Report 2018

Responsibilities

  • Review incoming and outgoing employee correspondence, electronic communication, sales literature, advertisements, client forms, seminars and social media web sites
  • Collect, process, track and maintain required registered associate forms including: Outside business activities, personal brokerage accounts, quarterly and annual securities transactions, trading pre-clearance, and Forms U4 and U5
  • Monitor licensing and regulatory issues related to new business
  • Review procedures, reports, etc. periodically to identity hidden risks or non-conformity issues
  • Assist in preparation of compliance, continuing education, operation, advertising and anti-money laundering policies, procedures, controls, and monitoring systems to mitigate risk
  • File documents with regulators (e.g., Form ADV an client brochure) and assist with responding to inquiries and examination requests from FINRA, SEC and state regulators
  • Keep abreast of regulatory developments within or outside of the firm as well as evolving best practices in compliance control
  • Prepare reports for senior management and external regulatory bodies as appropriate

Qualifications

  • Bachelor's degree
  • One to three years of compliance experience, preferably in the financial industry
  • Series 7, 63, 65 and/or 66 license, preferred (or willingness to become licensed)
  • Knowledge of industry's standards and regulations, preferably with respect to SEC and FINRA rules and regulations broker-dealers
  • Methodical and diligent with outstanding planning and record keeping abilities
  • Ability to independently manage and prioritize multiple projects
  • Strong verbal and written communication skills
  • Positive team player