Senior Compliance Officer - Institutional Fixed Income

Baird
Milwaukee
Workplace: HybridFull timeFunction: Legal, Risk & ComplianceExperience: 5+ yearsEducation: bachelorsSkills: ["Regulatory risk judgment","Communication","Analytical thinking","Organizational skills","Problem-solving"]

Serve as a strategic compliance advisor for Institutional Fixed Income capital markets activities, supporting fixed income sales and trading across corporate, municipal, government agency, and asset-backed securities. Lead development and enhancement of policies, procedures, and supervisory manuals, interpret SEC/FINRA/MSRB requirements, and help drive exams, audits, inquiries, and subpoenas. Partner with senior business leaders and committees, and deliver training to ensure best execution oversight.

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Baird
Baird
2 months ago

Senior Compliance Officer - Institutional Fixed Income

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Last checked: 11 days agoStatus: Live

Job Summary

Serve as a strategic compliance advisor for Institutional Fixed Income capital markets activities, supporting fixed income sales and trading across corporate, municipal, government agency, and asset-backed securities. Lead development and enhancement of policies, procedures, and supervisory manuals, interpret SEC/FINRA/MSRB requirements, and help drive exams, audits, inquiries, and subpoenas. Partner with senior business leaders and committees, and deliver training to ensure best execution oversight.
Location: Milwaukee
Workplace: Hybrid
Employment Type: Full time
Job Function: Legal, Risk & Compliance
Seniority: Manager level

Key Responsibilities

  • •Serve as trusted advisor and primary escalation point for fixed income sales and trading regulatory and supervisory matters.
  • •Research, analyze, and interpret regulatory rule releases, notices, and disciplinary actions; participate in the Regulatory Review Committee.
  • •Create, implement, maintain, and test written supervisory procedures and compliance unit manuals for fixed income business practices.
  • •Drive SEC/FINRA/MSRB examinations, regulatory inquiries, internal audits, and subpoena responses; facilitate onsite and remote exam support.
  • •Design exception-reporting logic, write Compliance Notes, and develop/deliver ad hoc and annual training on regulatory requirements and business practice standards.

Key Requirements

  • •Minimum 5 years of experience operating in high-volume, time-sensitive trading environments.
  • •Knowledge of FINRA Rules 2232, 2242, 5310, and 6730, and MSRB Rules G-14, G-15, G-18, and G-30.
  • •Experience creating, maintaining, and testing written supervisory procedure manuals and related compliance procedures.
  • •Bachelor’s degree required.
  • •Securities Industry Essentials (SIE), Series 7, and Series 24 licenses required.
Experience:5+ yearsCapital marketsBroker dealerFixed income tradingInstitutional trading
Education:Bachelor's
Skills:Regulatory risk judgmentCommunicationAnalytical thinkingOrganizational skillsProblem-solving
Licenses:Securities Industry Essentials (SIE)Series 7Series 24
Certifications:Securities Industry Essentials (SIE)Series 7Series 24
Tech Stack:SECFINRAMSRBFINRA TRACEMSRB RTRSBloombergTradeweb

Company Brief

Baird
Robert W. Baird & Co. is an employee-owned financial services firm providing wealth management, investment banking, asset management, and capital markets services to individuals, institutions, and corporations across the U.S. and internationally.
Industry: Wealth Management
Company Size: Enterprise (1,001+ employees)
Revenue: USD 1B+
Growth: Established Company
Headquarters: Milwaukee, United States
Founded: 1919
WebsiteLinkedIn