Senior Compliance Officer - Institutional Fixed Income
$150,000–$200,000 year
HybridMilwaukee, Wisconsin, United States
Job Summary
Lead development, implementation, and ongoing enhancement of policies and procedures for the Institutional Fixed Income Broker Dealer Capital Markets businesses. Provide expert regulatory guidance to senior business leaders on SEC, FINRA, and MSRB requirements while serving as the primary escalation point for trading and sales regulatory matters. Research complex rule releases, interpret disciplinary actions, and actively participate in the Regulatory Review Committee. Create, maintain, and test supervisory procedure manuals covering fixed income business practices. Drive SEC, FINRA, and MSRB examinations, inquiries, and subpoena responses, while designing exception-reporting logic for supervisory oversight. Deliver ad hoc and annual training on regulatory requirements and best execution standards. Facilitate onsite and remote regulatory exams and serve on the Fixed Income Best Execution Committee. Work 3 days in the Milwaukee office and 2 days remotely.
Required Qualifications
- 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 license
- Series 7 license
- Series 24 license
- 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 with FINRA TRACE and MSRB RTRS data
- Bloomberg terminal skills
- Tradeweb terminal skills
- Ability to facilitate discussions across business, Legal, Compliance and Control Room functions
- 3 days per week in Milwaukee office
- 2 days remote
Hiring someone like this?
Get your role in front of qualified candidates on Sorce.