Senior Compliance Officer - Institutional Fixed Income
Baird · United States · 2mo ago
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 matters
Research, analyze, and interpret complex regulatory rule releases, regulatory notices, and disciplinary actions and serve as an active participant on the firm’s Regulatory Review Committee
Create, implement, maintain and test written supervisory procedure manuals, compliance unit manuals, and associate procedures covering fixed income business practices
Act as a key driver for SEC, FINRA, and MSRB examinations, regulatory inquiries, internal audits, and subpoena responses
Facilitate SEC and FINRA onsite and remote-based regulatory exams.
Design and enhance exception‑reporting logic to support effective supervisory oversight of business activities
Write Compliance Notes as needed to communicate new policies and procedures to associates
Develop and deliver ad hoc and annual training on regulatory requirements and business practice standards
Drive best execution oversight and serve on the firm’s Fixed Income Best Execution Committee
What You’ll Bring to Baird:
Strong judgment and ability to articulate regulatory risk and supervisory practices within the context of business practices
Excellent communication skills with the ability to effectively communicate orally or in writing with associates at all levels of the firm and with external regulators
Strong analytical, organizational, critical thinking, and problem-solving skills
Minimum 5 years’ experience operating in high‑volume, time‑sensitive trading environments
Bachelor’s degree required
Securities Industry Essentials (SIE) Exam, Series 7, and Series 24 licenses required
Established record of effective business writing skills
Experience and comfort with analyzing complex data
Elevated 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-30
Experience with FINRA TRACE and MSRB RTRS data
Bloomberg and Tradeweb terminal skills
Ability to facilitate discussions across business, Legal, Compliance and Control Room functions
Compensation and Benefits:
Compensation and bonus are commensurate with experience, performance and/or firm profitability
You’ll have the opportunity to advance your career while enjoying our comprehensive benefits designed for your life, career and future
#LI-RE1
Baird 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.