Senior Supervision Officer

Baird • Milwaukee, WI

1d

About The Position

The Senior Supervision Officer oversees the daily activity of Financial Advisors and Private Wealth Management (PWM) branch associates in accordance with the firm’s written supervisory procedures. The role supports a strong culture of compliance, accountability, and client-first decision making, and serves as a trusted partner to PWM Branch Managers and Corporate Resource Groups (CRG).

The officer identifies, escalates, investigates, documents, resolves, and follows up on issues and recurring behavior patterns that require additional research and surveillance. As a subject matter expert in securities laws, regulations, products, and ethical standards, the officer provides practical guidance and education to field associates, supports improvements to supervisory policies and procedures, and helps teams meet business needs while upholding firm and regulatory standards. The position may involve travel to assigned PWM branches of less than 25%.

Requirements

• At least 5 years of experience in a brokerage or investment-advisor compliance, supervision, and/or operations role.
• FINRA SIE, Series 7, 9, 10, and 66 registrations, or equivalent, and a life/health license.
• Expertise in securities-industry laws, regulations, products, and ethical standards.
• Superior oral and written communication skills, including experience resolving sensitive issues with composure and a partnership mindset.
• Demonstrated problem-solving skills and ability to drive changes to policies, procedures, systems, and processes as issues are identified.
• Proven ability to work in a geographically dispersed organization.
• Bachelor’s degree in Business, Finance, or Accounting, or an equivalent combination of work experience and schooling.

Responsibilities

• Oversee daily supervision of product and service offerings, using tools and expertise to identify, escalate, resolve, and follow up on issues.
• Conduct thorough investigations, document findings, and ensure timely resolution of issues.
• Enforce the firm’s written supervisory policies and procedures; assess them for improvement opportunities and work with Compliance and other CRG departments to enhance them.
• Serve as the primary point of contact for assigned Branch Managers on complex and sensitive issues and escalations.
• Proactively educate field associates on Compliance and Supervision policies and procedures.
• Partner with advisors and branch teams to navigate supervisory requirements with practical, solutions-oriented guidance that maintains firm and regulatory standards.
• Travel to assigned PWM branches, less than 25% of the time.
• Handle escalations from PWM Supervision Officers regarding complex and sensitive issues.
• Use compliance desktop tools as an expert and drive improvement opportunities.
• Participate in or lead projects as required.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior