Senior Compliance Officer - Securitized Products
Senior Compliance Officer - Securitized Products
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Job Description
Senior Compliance Officer - Securitized Products
We are seeking a Securitized Products Compliance Officer who will be primarily responsible for partnering with the firms Fixed Income Capital Markets business in the creation implementation and maintenance of policies and procedures and provide advice to help ensure that the laws regulations and ethical standards of the securities industry are followed in all aspects of the firms institutional securitized products business activities. Specifically the position will involve all regulatory matters regarding the trading sales research underwriting and investment banking services provided of securitized products which include but are not limited to asset-backed (ABS) mortgage-backed (MBS) commercial mortgage-backed (CMBS) agency commercial mortgage-backed (ACMBS) collateralized mortgage obligation (CMO) collateralized loan obligation (CLO) agency mortgage-backed (AMBS) non-agency mortgage-backed and government-sponsored enterprise securities.
As a Senior Compliance Officer - Securitized Products you will:
Provide an elevated level of service to internal clients by providing interpretive guidance regarding the application of securities regulations to various business scenarios.
Review and interpret rule releases and regulator disciplinary actions to assess the relevance to existing business practices through active participation in the Compliance Departments Regulatory Review Committee.
Create implement and maintain the policies and procedures for securitized products business activities.
Research and respond to regulatory inquiries.
Test supervisory control systems.
Develop firm element continuing education materials.
Facilitate SEC and FINRA onsite and virtual exams.
Develop exception reports.
Write Compliance Notes as needed to communicate new policies and procedures to associates.
Provide feedback to industry trade groups responding to regulator request for comment efforts.
Build effective relationships with internal stakeholders.
What makes this opportunity great:
Unique culture that values diverse backgrounds and perspectives while emphasizing teamwork and partnership.
Opportunity to work alongside Baird Compliance professionals who are recognized and respected in our industry and throughout the firm.
Compliance roles involve a high degree of challenge. No workday will be the same due to expanding business activities and an ever-changing regulatory environment.
What we look for:
Bachelors degree required.
Securities Industry Essentials (SIE) Exam Series 7 and Series 24 licenses.
Strong analytical organizational critical thinking and problem-solving skills.
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.
Ability to effectively communicate orally or in writing within all levels of the organization and with regulators.
Bloomberg terminal skills.
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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.
Required Experience:
Senior IC
Employment Type
Full-Time
