Senior Compliance Officer - Securitized Products

We are seeking a Securitized Products Compliance Officer who will be primarily responsible for partnering with the firm’s 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 firm’s 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 is being offered as a remote opportunity.

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 Department’s 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:

Bachelor’s 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.

Check out our , which is a summary of our benefits and compensation.

​*Compensation and bonus are commensurate with experience, performance, and/or office profitability.

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