Manager Annuity & Insurance Supervision

Baird; United States; Remote; USD 80,000 - 120,000; Full time

Job summary

Baird is seeking a Manager - Annuity & Life Supervision to lead the supervision team, ensuring compliance with firm policies and resolving complex issues in the insurance and securities sectors. The role emphasizes leadership, effective communication, and a capacity for problem-solving, promoting a flexible work-life balance within a passionate team dedicated to client success.

Benefits

Flexible work-life balance

Significant technology training and support

Team-driven environment focused on community engagement

Employee-owned firm with recognition as a great workplace

Qualifications

• Minimum of 7 years in brokerage/compliance with focus on annuities & insurance.
• SIE, FINRA Series 7 & 24 registrations required.
• Strong problem-solving skills and ability to drive process change.

Responsibilities

• Supervise daily activity of the annuity & insurance supervision team.
• Enforce firm’s supervisory policies and continually assess for improvements.
• Primary point of contact for annuity & insurance issues and escalations.

Skills

Leadership

Problem Solving

Communication

Emotional Intelligence

Interpersonal Skills

Organizational Skills

Education

Bachelor’s degree in Business, Finance, or Accounting

Job description

We are seeking a positive professional who has a true interest in investing and the rules and regulations of the insurance & securities industry. This position is responsible for supervising the daily activity of the annuity & insurance supervision team and that of Financial Advisors and other PWM branch associates for the more complex product and service offerings in accordance with the firm’s written supervisory procedures. The right candidate will have the ability to lead and drive the PWM Supervision team and to attract, develop and mentor high caliber supervision associates. The right candidate will have shown the ability to build rapport within the team, with PWM Branch Managers, and CRG leadership. This Associate has displayed expertise in discovering, escalating, resolving, and following-up on issues and frequently identified patterns of behavior that required additional research and surveillance. The role requires an individual with superior oral and written communication skills and experience resolving highly sensitive and complex issues with composure. This individual is expected to be an expert on the laws, regulations, products and ethical standards of the insurance & securities industry.

As a Manager - Annuity & Life Supervision, you will:

• Enforce the firms written annuity & insurance supervisory policies and procedures, continually assess them to identify improvement opportunities and work with the Compliance and other CRG Departments to enhance them.
• Daily supervision of annuity & insurance offerings utilizing various tools and expertise to discover, escalate, resolve and follow-up on issues. Associate will need to investigate, document and follow-up.
• Perform ongoing and yearly reviews to develop PWM supervision associates and assist in their goal achievement.
• Work closely with Director of PWM Supervision, Compliance and other CRG Departments.
• Primary point of contact for all annuity & insurance issues and escalations from the annuity & insurance supervisors, product partners & Branch Managers.
• Occasional travel to industry events and PWM Branches.
• Expert in utilizing annuity & insurance desktop tools and driving improvement opportunities.
• Participate in or lead projects as required.

What makes this opportunity great:

• Flexible work-life balance is promoted.
• Fast paced environment that will enable you to grow as a professional.
• 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.
• A strong, stable employee-owned firm recognized as a great place to work since 2004.
• Baird provides significant technology training, plus extensive one-on-one training and support.

What we look for:

• Bachelor’s degree in Business, Finance, or Accounting or equivalent combination of work experience and schooling is required.
• A minimum of 7 years of experience in brokerage/investment advisor compliance, supervision and/or operations role, with focus on annuities & insurance
• Demonstrated leadership ability.
• SIE, FINRA Series 7 & 24 registrations and Life & Health insurance license
• Expert on the laws, regulations, products and ethical standards of the insurance & securities industry.
• Superior oral and written communication skills and experience resolving sensitive issues with composure.
• Demonstrated problem solving skills and ability to drive changes to policy, procedures, systems and processes as issues are identified. Change driver.
• Emotional Intelligence - Able to communicate with respect using appropriate language and voice volume in all situations
• Good interpersonal skills -- ability to effectively and proactively work with both external and internal clients and relate with others in order to accomplish work responsibilities and objectives. Willing and able to research and provide an answer or feedback within 24 hours of initial inquiry.
• Strong organizational skills -- consistent ability to prioritize workflow in order to achieve specific goals in a timely manner.
• Detail oriented with an emphasis on accuracy. Critical thinking and proactive problem-solving skills.
• Positive attitude & enthusiastic about working in compliance and regulated environment

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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.