Senior Compliance Officer Institutional Fixed Income

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 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 Youll 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 firms 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 exceptionreporting 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 firms Fixed Income Best Execution Committee

What Youll 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 highvolume timesensitive trading environments

• Bachelors 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& 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

• Youll 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.