Senior Compliance Officer - Institutional Fixed Income

Baird; Milwaukee (WI); On-site; USD 120,000 - 170,000; Full time

Benefits offered by this job

Bonus potential

Comprehensive benefits

Job summary

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

Qualifications

• 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.

Responsibilities

• 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.

Skills

Regulatory risk assessment

Regulatory communication

Analytical thinking

Training delivery

Education

Bachelor’s degree

SIE exam

Series 7 license

Series 24 license

Tools

Bloomberg Terminal

Tradeweb

FINRA TRACE data

MSRB RTRS data

Job description

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 withFINRA 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

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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.