Baird

3 weeks ago

Senior Compliance Officer - Institutional Fixed Income

✓ Verified Job

Canonical indexed version, validated from employer's careers page.

Source: Company careers pageValidated by: Fursa AI

Last checked: 4 hours 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

Website LinkedIn

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Baird

3 weeks ago

Senior Compliance Officer - Institutional Fixed Income

✓ Verified Job

Canonical indexed version, validated from employer's careers page.

Source: Company careers pageValidated by: Fursa AI

Last checked: 4 hours agoStatus: Live

Job Summary

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

Industry: Wealth Management

Company Size: Enterprise (1,001+ employees)

Revenue: USD 1B+

Growth: Established Company

Headquarters: Milwaukee, United States

Founded: 1919

Website LinkedIn