About the Role:We are seeking a seasoned Senior Compliance Officer – Institutional Fixed Income to serve as a strategic partner to our Institutional Fixed Income Broker Dealer Capital Markets businesses. This is an opportunity to play a key advisory role at the intersection of business and regulation, influencing complex trading and capital markets activity while helping shape a best-in-class compliance program. In this role, you will lead the development, implementation, and ongoing enhancement of policies and procedures, while providing expert regulatory guidance to ensure alignment with SEC, FINRA, and MSRB requirements.
This position offers broad exposure across institutional trading, sales, underwriting, and research activities spanning corporate, municipal, government agency, and asset-backed securities.This position offers flexibility with 3 days per week in our Milwaukee office and 2 days remote. The Impact You’ll Make: Serve as a trusted advisor and primary escalation point for senior business leaders on fixed income sales and trading regulatory and supervisory mattersResearch, analyze, and interpret complex regulatory rule releases, regulatory notices, and disciplinary actions and serve as an active participant on the firm’s Regulatory Review CommitteeCreate, implement, maintain and test written supervisory procedure manuals, compliance unit manuals, and associate procedures covering fixed income business practicesAct as a key driver for SEC, FINRA, and MSRB examinations, regulatory inquiries, internal audits, and subpoena responsesFacilitate SEC and FINRA onsite and remote-based regulatory exams.Design and enhance exception‑reporting logic to support effective supervisory oversight of business activitiesWrite Compliance Notes as needed to communicate new policies and procedures to associatesDevelop and deliver ad hoc and annual training on regulatory requirements and business practice standardsDrive best execution oversight and serve on the firm’s Fixed Income Best Execution CommitteeWhat You’ll Bring to Baird:Strong judgment and ability to articulate regulatory risk and supervisory practices within the context of business practicesExcellent communication skills with the ability to effectively communicate orally or in writing with associates at all levels of the firm and with external regulatorsStrong analytical, organizational, critical thinking, and problem-solving skillsMinimum 5 years’ experience operating in high‑volume, time‑sensitive trading environmentsBachelor’s degree requiredSecurities Industry Essentials (SIE) Exam, Series 7, and Series 24 licenses requiredEstablished record of effective business writing skillsExperience and comfort with analyzing complex dataElevated level of curiosity and comfort with the unfamiliar or unknown.Knowledge regarding FINRA Rules 2232, 2242, 5310 & 6730, and MSRB Rules G-14, G-15, G-18 & G-30Experience with FINRA TRACE and MSRB RTRS dataBloomberg and Tradeweb terminal skillsAbility to facilitate discussions across business, Legal, Compliance and Control Room functionsCompensation and Benefits: Compensation and bonus are commensurate with experience, performance and/or firm profitabilityYou’ll have the opportunity to advance your career while enjoying our comprehensive benefits designed for your life, career and future#LI-RE1Baird 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.SummaryLocation: WI-MilwaukeeType: Full time
Senior Compliance Officer - Institutional Fixed Income in milwaukee at Unknown Company
This position is listed as full time and able to be worked remotely.