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Fixed Income Compliance Jobs in Colorado (NOW HIRING)

Robert W Baird & Co

Client Specialist

Denver, CO · On-site

$27.54 - $36.67/hr

May enter security orders including stocks, bonds, fixed income, options, annuities and other ... Understands compliance regulations and correspondence policies. Maintains client confidentiality in ...

Janus Henderson Investors

Portfolio Services Analyst

Denver, CO · Hybrid

$90K - $110K/yr

  • Medical

  • Retirement

... and compliance approval process. This may include generating or editing orders. * Handle all ... Fixed Income security knowledge in addition to Equities is a preferred * Data automation and coding ...

Wealthfront

Fraud Operations Specialist

Denver, CO · Remote

$81K - $90K/yr

Coordinate with Financial Crimes Compliance to ensure fraud and non-fraud-related cases are ... fixed income, tax-loss harvesting, and direct indexing--which we offer at industry-leading low ...

New

Ares Operations LLC

Analyst/Associate, Sales

Denver, CO · On-site

$14.50 - $19.50/hr

  • Medical

  • Dental

  • Vision

  • Life

  • Retirement

Adhere to all compliance guidelines, including use of pre-approved marketing materials, prospectus ... Knowledge of the various product sub-sets within the Equity, Fixed Income and International markets ...

Ares Management Corporation

Analyst/Associate, Sales

Denver, CO · On-site

$14.50 - $19.50/hr

  • Medical

  • Dental

  • Vision

  • Life

  • Retirement

Adhere to all compliance guidelines, including use of pre-approved marketing materials, prospectus ... Knowledge of the various product sub-sets within the Equity, Fixed Income and International markets ...

Robert W Baird & Co

Client Specialist

Boulder, CO · On-site

$24.36 - $36.67/hr

May enter security orders including stocks, bonds, fixed income, options, annuities and other ... Understands compliance regulations and correspondence policies. Maintains client confidentiality in ...

Baird

Client Specialist

Boulder, CO · On-site

$24.36 - $36.67/hr

May enter security orders including stocks, bonds, fixed income, options, annuities and other ... Understands compliance regulations and correspondence policies. Maintains client confidentiality in ...

Robert W Baird & Co

Client Specialist

Boulder, CO · On-site

$24.36 - $36.67/hr

May enter security orders including stocks, bonds, fixed income, options, annuities and other ... Understands compliance regulations and correspondence policies. Maintains client confidentiality in ...

Mercer Advisors

Senior Research Manager

Denver, CO · On-site +1

Modern Portfolio Theory statistics), with a focus on fixed income, special solutions, and ... to compliance and operational guidelines. Communication: * Prepare materials and analysis for ...

Aegon Asset Management

Product Strategist - Transamerica AM

Denver, CO · On-site

$125K - $161K/yr

  • Medical

  • Dental

  • Vision

  • Retirement

  • PTO

We provide active fixed income and differentiated equity strategies by following our Investor First ... regulatory/compliance units. * Recommend changes to fund structures, expense allocations, total ...

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Showing results 41-60

All JobsFixed Income Compliance JobsFixed Income Compliance Jobs in Colorado

Fixed Income Compliance information

What is the difference between Fixed Income Compliance vs Fixed Income Trading?

AspectFixed Income ComplianceFixed Income Trading
Primary FocusEnsuring adherence to regulations and internal policies in fixed income securitiesBuying and selling fixed income securities to generate profit
Required CredentialsCertifications like Series 7, Series 63, or Series 24 often preferredSeries 7, Series 63, or Series 55 typically required
Work EnvironmentRegulatory departments, compliance teams, financial institutionsTrading floors, investment banks, asset management firms
Key ResponsibilitiesMonitoring trades, implementing compliance policies, risk managementExecuting trades, market analysis, portfolio management

While Fixed Income Compliance focuses on regulatory adherence and risk mitigation within fixed income securities, Fixed Income Trading involves actively buying and selling these securities to achieve investment objectives. Both roles require similar certifications and often work within the same financial institutions, but their core functions differ significantly.

Is fixed income compliance a good career?

Fixed income compliance is a specialized field within financial regulation that involves ensuring firms adhere to laws and policies related to bond and debt securities. It requires strong knowledge of financial regulations, attention to detail, and often certification such as the Series 7 or 24. The role offers stability and opportunities for advancement in the finance industry.

What are popular job titles related to Fixed Income Compliance jobs in Colorado?

For Fixed Income Compliance jobs in Colorado, the most frequently searched job titles are:

What job categories do people searching Fixed Income Compliance jobs in Colorado look for?

The top searched job categories for Fixed Income Compliance jobs in Colorado are:

What cities in Colorado are hiring for Fixed Income Compliance jobs?

Cities in Colorado with the most Fixed Income Compliance job openings:

Fixed Income Compliance jobs near you
Infographic showing various Fixed Income Compliance job openings in Colorado as of August 2026, with employment types broken down into 1% As Needed, 84% Full Time, 11% Part Time, and 4% Contract. Highlights an 93% Physical, 3% Hybrid, and 4% Remote job distribution.

Client Specialist

Robert W Baird & Co

Denver, CO • On-site

$27.54 - $36.67/hr

Full-time

Re-posted 28 days ago

Job description

About the Role:

As a Client Specialistat Baird, you'll play a pivotal role in delivering outstanding client service and operational support to one or more Financial Advisors.You'll be at the heart of the client experience-coordinating onboarding, managing communications, supporting account operations, and helping organize impactful client events. Your work will directly contribute to the success of Baird's Private Wealth Management business, where true wealth management means understanding each client's unique vision and tailoring solutions to help them succeed.

Check out this video to learn more about the day in the life of our Client Assistants and Client Specialists!

The Impact You'll Make:

  • Responsible for client onboarding coordination, which includes managing Financial Advisor(s) prospect pipeline, assisting with proposal generation, preparing new account paperwork, opening accounts, transitioning new assets to Baird and establishing an ongoing communication/client service plan.

  • Gain knowledge of and leverage partnership with Baird's Corporate Resource Groups to provide the best wealth management solutions to clients.

  • Answers all incoming phone calls and handles as appropriate.Manages client needs where possible and advises Financial Advisor of action taken.

  • May schedule client appointments and/or conference room for appointments.

  • Assemble/generate materials including paperwork and reports for client meetings.

  • Understand and ensure business adherence with firm and financial industry regulatory policies.

  • May manage FA and Team's social media presence (website, LinkedIn, X, etc.).

  • Maintain Client Relationship Management (CRM) system for Financial Advisor(s), as well as leverage the platform to manage the client relationship through mailings, reporting, e-mail tracking, and more, with the goal of implementing well-defined client service models.

  • May organize and coordinate seminars and client events at the direction of Financial Advisor(s). Develops client lists, designs material and seminar/meeting content, coordinates PowerPoint presentations and follows through with client contact.

  • Seek ways to enhance FA(s) business effectiveness and marketability.

  • Initiates and completes all transactions required to fully service client accounts i.e. paperwork, correspondence, client request fulfillment and special projects as needed.

  • May enter security orders including stocks, bonds, fixed income, options, annuities and other investment vehicle orders per Financial Advisors' instructions or upon client's verbal direction.

  • May also provide back-up to other teams and the branch when necessary, as well as perform other duties and special projects as necessary.

  • Proactively review investment opportunities on a daily basis & notify Financial Advisor(s) to take action on those opportunities with the goal of driving the Financial Advisors' business. Specifically, this may include funds available/money line, maturing securities, reorg items, and previous days' activities.

What You'll Bring to Baird:

  • 2+years of prior industry and/or administrative work experience.

  • Must have Active Securities Industry Essentials (SIE) Exam, Series 7, and Series 66 or Series 63 and Series 65 licenses.

  • Proficient in Microsoft Office suite (Word, Excel, PowerPoint) with the ability to learn and effectively navigate Baird's Private Wealth Management technology platforms.

  • Excellent verbal and written communication skills; ability to adeptly exchange ideas and information.

  • Detail oriented with an emphasis on accuracy.

  • Strong organizational skills -- consistent ability to prioritize workflow of team to achieve specific goals in a timely manner.

  • Understands compliance regulations and correspondence policies. Maintains client confidentiality in all situations.

  • Good analytical and critical problem-solving skills.

  • Bachelor's degree preferred, not required.

Compensation and Benefits:

  • $27.54-$36.67 hourly rate.

  • Bonus potential up to 8.5% of base pay

  • Compensation and bonus are commensurate with experience, performance and/or firm profitability

  • You'll have the opportunity to advance your career while enjoying our comprehensive benefits designed for your life, career and future.

Accepting applications on a rolling basis.

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.

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