About the Role:
We’re looking for a collaborative and solutions-oriented professional with deep expertise in annuity and insurance supervision, regulatory requirements, and risk management. In this role, you’ll review annuity and insurance transactions to help ensure business is conducted in accordance with firm policies, supervisory standards, and regulatory expectations while supporting a culture of integrity, compliance, and client-focused decision making.
You’ll serve as a trusted partner to Financial Advisors, branch associates, branch leadership, and internal business partners, helping navigate supervisory requirements in a practical and business-minded way. You’ll evaluate transaction suitability, identify documentation gaps or supervisory concerns, provide guidance on regulatory expectations, and collaborate across teams to resolve complex or sensitive matters while maintaining firm and industry standards.
Success in this role comes from your ability to exercise sound judgment, communicate with confidence, and manage competing priorities in a highly regulated environment. You’ll serve as a subject matter expert on annuity and insurance products, industry regulations, and supervisory practices, while identifying trends, recommending process improvements, and helping strengthen the quality and consistency of supervisory outcomes across the business.
The Impact You’ll Make:
- Review daily annuity and insurance transactions to evaluate completeness, product suitability, best interest considerations, and alignment with firm policies and supervisory standards.
- Identify missing information, documentation gaps, inconsistencies, or supervisory concerns, and work directly with Financial Advisors and branch associates to obtain clarification, corrections, or additional support needed to complete the review.
- Escalate higher-risk, complex, or sensitive matters to management, regional Senior Supervisory Officers, Compliance, or other control partners, and follow issues through resolution.
- Serve as a subject matter resource for advisors, branch leadership, and internal partners on annuity and insurance supervisory requirements, documentation expectations, and transaction-related questions.
- Work as a partner to the field by helping advisors and branch teams navigate supervisory requirements in a practical, solutions-oriented way that supports the business while maintaining firm and regulatory standards.
- Document supervisory reviews, decisions, and follow-up in a clear and timely manner to support regulatory defensibility, internal transparency, and consistent supervisory outcomes.
- Monitor recurring issues, identify trends in transaction quality or advisor behavior, and partner with leadership to recommend training, process improvements, or control enhancements.
- Participate in departmental initiatives, testing, training, and other special projects that support the continued evolution of annuity and insurance supervision.
What You’ll Bring to Baird:
- Bachelor's degree, or equivalent work experience, in the financial industry
- FINRA SIE, Series 7, Series 63 or 66, Series 24 or 9 & 10, and Life & Health Insurance license required
- Certified Annuity Specialist designation preferred, or obtain within 12 months
- Knowledge of Microsoft Excel, Word, and Adobe Acrobat
- Superior oral and written communication skills
- Experience resolving highly sensitive and complex issues with composure and a partnership mindset
- Expert on the laws, regulations, products, and ethical standards of the insurance and annuity 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 a compliance and regulated environment
#LI-PWM2
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.
Skills Required
- Bachelor's degree or equivalent work experience in the financial industry
- FINRA SIE and Series 7, 24, or 9/10
- Life/Health insurance license
- Certified Annuity Specialist designation (preferred or obtain within 12 months)
- Knowledge of Microsoft Excel, Word, and Adobe Acrobat
- Superior oral and written communication skills
- Experience resolving highly sensitive and complex issues with composure
- Expertise in insurance and annuity laws, regulations, products, and ethical standards
- Strong organizational and analytical skills with exceptional attention to detail
- Ability to prioritize, take ownership of issues through completion, and drive change
Baird Compensation & Benefits Highlights
The following summarizes recurring compensation and benefits themes identified from responses generated by popular LLMs to common candidate questions about Baird and has not been reviewed or approved by Baird.
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Retirement Support — Retirement offerings are positioned as a major strength, including a strong 401(k) with matching and profit-sharing contributions, plus access to financial planning support. Long-term wealth building is further reinforced through employee ownership and stock purchase opportunities.
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Leave & Time Off Breadth — Time-off benefits are framed as generous, including unlimited PTO in some descriptions, paid holidays, and paid volunteer time. Flex time and work-from-home options are also included as part of the broader work-life package.
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Healthcare Strength — Health coverage is described as comprehensive, spanning medical, dental, vision, and mental health support, alongside wellness programs and HSA/FSA options. Preventive care and employer contributions toward HSA/deductibles are highlighted as part of the design.
Baird Insights
What We Do
Founded in 1919, Baird has guided families, businesses, communities and institutions toward their financial goals for a century. Today employee-owned Baird offers wealth management, investment banking, asset management, institutional sales and trading, equity research, public finance and private equity services through more than 160 offices in the United States, Europe and Asia. Baird manages and oversees more than $305 billion in assets for clients around the world and employs more than 4,600 associates. Baird has been one of FORTUNE’s 100 Best Companies to Work For® since 2004, and is committed to policies and practices that provide equal employment opportunity at all times. These non-discriminatory practices apply to all areas of employment including: hiring, promotions, terminations, compensation, benefits and educational opportunities. “Baird” is the marketing name for Robert W. Baird & Co., Incorporated and subsidiaries and affiliates worldwide. For more information, please visit www.rwbaird.com.
