Senior Supervision Officer

Baird•Milwaukee, WI

13h

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 culture of compliance, accountability, and client-first decision making, and builds trusted working relationships with PWM Branch Managers and Corporate Resource Groups (CRG). The officer provides expertise in identifying, escalating, resolving, documenting, and following up on issues and recurring behavior patterns requiring further research or surveillance. As a subject matter expert in securities laws, regulations, products, and ethical standards, the officer helps advisors and branch teams navigate supervisory requirements while maintaining firm and regulatory standards. The role also contributes to continuous improvement of supervisory policies, procedures, systems, and processes.

Requirements

At least 5 years of experience in brokerage or investment-advisor compliance, supervision, and/or operations.
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.
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.
Ability to work in a geographically dispersed organization.
A continuous-improvement orientation and a positive attitude toward working in compliance and a regulated environment.
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 available tools and expertise to identify, escalate, resolve, and follow up on issues.
Conduct thorough investigations, document findings, and ensure timely resolution.
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.
Provide proactive education to field associates on Compliance and Supervision policies and procedures.
Partner with advisors and branch teams to address supervisory requirements in a practical, solutions-oriented manner.
Travel to assigned PWM branches, with travel expected to be less than 25%.
Handle escalations from PWM Supervision Officers involving complex and sensitive issues.
Use compliance desktop tools as an expert and identify opportunities to improve them.
Participate in or lead projects as required.