Senior Compliance Officer - Securitized Products
Senior Compliance Officer - Securitized Products
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$ 100 - 165
1 Vacancy
Job Description
About the Role:
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.
This position allows working from a home office but may require travel to our home office as needed approximately 2-4 times per year. We provide the necessary equipment collaboration tools and resources to ensure a productive remote work environment.
The Impact Youll Make:
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 Youll Bring to Baird:
Bachelors degree required.
Must have 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.
Compensation and Benefits:
$100-165k base salary range.
Bonus potential of up to 25% of base salary with upward potential as experience increases with the team.
Compensation and bonus are commensurate with experience performance and/or firm profitability
Youll 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.
Required Experience:
Senior IC
Employment Type
Full-Time
