Hybrid Senior Compliance Officer, Fixed Income

Baird; Milwaukee (WI); Ibrido; USD 120.000 - 170.000; Tempo pieno

Vantaggi offerti da questo lavoro

Bonus potential

Comprehensive benefits

Descrizione del lavoro

Baird in Milwaukee, Wisconsin seeks a seasoned Senior Compliance Officer – Institutional Fixed Income to guide regulatory strategy across SEC, FINRA, MSRB, and supervision. You will lead policy development and training while partnering with trading, sales, underwriting and research teams.

This hybrid role requires at least 5 years in high-volume trading environments, plus SIE, Series 7 and Series 24 licenses; Bachelor's degree; Bloomberg/Tradeweb experience; you will interact with regulators and

Competenze

• Minimum 5 years' experience in high-volume trading environments.
• Bachelor's degree required; SIE, Series 7 and Series 24 licenses required.
• Strong written and verbal communication skills with regulators and internal teams.

Mansioni

• Serve as primary escalation point on regulatory and supervisory matters for fixed income.
• Develop, implement, and test supervisory procedures and manuals for fixed income activities.
• Lead coordination for SEC, FINRA, and MSRB examinations and regulatory inquiries.
• Deliver regulatory training and communicate policy changes to associates.

Conoscenze

Regulatory risk assessment

Regulatory communication

Analytical thinking

Training delivery

Formazione

Bachelor’s degree

SIE exam

Series 7 license

Series 24 license

Strumenti

Bloomberg Terminal

Tradeweb

FINRA TRACE data

MSRB RTRS data

Descrizione del lavoro

Baird in Milwaukee, Wisconsin seeks a seasoned Senior Compliance Officer – Institutional Fixed Income to guide regulatory strategy across SEC, FINRA, MSRB, and supervision. You will lead policy development and training while partnering with trading, sales, underwriting and research teams.

This hybrid role requires at least 5 years in high-volume trading environments, plus SIE, Series 7 and Series 24 licenses; Bachelor's degree; Bloomberg/Tradeweb experience; you will interact with regulators and