Senior Securities Compliance Supervisor

Baird; Milwaukee (WI); On-site; USD 90,000 - 130,000; Full time

Job summary

Baird is seeking an engaging and knowledgeable compliance professional to oversee daily supervision of Financial Advisors and PWM branch associates, ensuring adherence to written procedures and a client-first approach.

You will partner with PWM Branch Managers and Corporate Resource Groups, resolving issues, escalating where needed, and applying expertise in securities laws, regulations, products, and ethics to guide teams.

Qualifications

• 5+ years in brokerage/compliance, supervision, or operations.
• Strong knowledge of securities laws, regulations, products, and ethics.
• Excellent written and verbal communication; able to resolve sensitive issues with calm, collaborative approach.

Responsibilities

• Oversee daily supervision of product and service offerings, ensuring thorough investigation and timely resolution of issues.
• Enforce and continually improve written supervisory policies with Compliance and CRG departments.
• Serve as primary contact for complex and sensitive escalations from Branch Managers.
• Educate field associates on Compliance and Supervision policies and procedures.
• Partner with field to navigate supervisory requirements in a practical, solutions-oriented way.
• Travel to assigned PWM branches to support supervision activities.
• Handle escalations from PWM Supervision Officers on complex issues.
• Utilize compliance tools and drive improvement opportunities; participate in projects as needed.

Skills

Communication

Problem solving

Geographic dispersion work

Continuous improvement

Positive attitude

Education

Bachelor’s degree in Business/Finance/Accounting

FINRA registrations (SIE, Series 7, 9, 10, 66) and life/health license

Job description

Baird is seeking an engaging and knowledgeable compliance professional to oversee daily supervision of Financial Advisors and PWM branch associates, ensuring adherence to written procedures and a client-first approach.

You will partner with PWM Branch Managers and Corporate Resource Groups, resolving issues, escalating where needed, and applying expertise in securities laws, regulations, products, and ethics to guide teams.