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Company Name:
Approximate Salary:
Per Year
Milwaukee, Wisconsin
United States
Position type:
Full Time
Experience level:
Entry Level
Education level:
Bachelor's Degree

Private Wealth Management Supervision Officer

This is a new position within PWM Supervision. This position is responsible for supervising the daily activity of Financial Advisors and other PWM branch associates for Baird's product and service offerings in accordance with the firm's written supervisory procedures, and in partnership with PWM and CRG leadership. Using expertise in discovering, escalating, resolving and following-up on issues and frequently identified patterns of behavior, the Supervision Officer will provide additional research and surveillance.

As a Private Wealth Management Supervision Officer you will:
  • Conduct daily supervision of product and service offerings utilizing various tools and expertise to discover, escalate, resolve and follow-up on issues. In partnership with Senior Supervisory Officers (SSO), enforce the firms written supervisory policies and procedures, continually assess them to identify improvement opportunities and work with the Compliance and other CRG departments to enhance them.
  • Be the primary point of contact on more complex and sensitive issues and escalations from assigned Branch Manager(s) and Client Resource Team.
  • Respond to telephone calls, emails and requests from PWM branch associates on compliance questions.
  • Coordinate and facilitate Disciplinary Enforcement and Escalated Review (DEER) committee meetings, captures and distributes meeting minutes.
  • Coordinate production and distribution of quarterly Branch Report card.
  • Review higher-risk Annuity business in partnership with SSOs.
  • Review Options accounts and trending.
  • Backup the Supervision Analyst team as needed.

What makes this opportunity great:
  • Ability to work a variety of teams and leaders, proving your ability to be flexible and highly adaptable.
  • Team of associates passionate about achieving great results for clients and give back to the communities where we live and work.
  • Unique culture that values diverse backgrounds and perspectives while emphasizing teamwork and a strong sense of partnership.

What we look for:
  • Bachelor's degree or equivalent work experience in financial industry.
  • FINRA Series 7, 66 & 24 (or 9 and 10) and Life/Health license required.
  • Ability to pass additional required licensing exams within 1 year (Series 4).
  • Knowledge of Microsoft Excel, Word and Adobe Acrobat.
  • Superior oral and written communication and client service skills.
  • Experience resolving highly sensitive and complex issues with composure and influence.
  • Expert on the laws, regulations, products and ethical standards of the securities industry.
  • Ability to identify potential areas of concern while prioritizing work assignments and take ownership of issues through to completion.
  • Strong organizational and analytical skills with exceptional attention to detail.
  • Change driver.
  • Positive attitude, enthusiastic about working in compliance and regulated environment.

Who we are:

Baird is an employee owned, international wealth management, capital markets, private equity and asset management firm with offices in the United States, Europe and Asia. Established in 1919, Baird has more than $167 billion in client assets and over 3,300 associates serving the needs of individual, corporate, institutional and municipal clients.

Baird has built an environment of trust, respect and teamwork, where associates are our greatest asset. Committed to being a great place to work, Baird ranked No. 4 on FORTUNE's 100 Best Companies to Work For in 2017, its fourteenth consecutive year on the list. To learn more about Baird's culture, click here.