About the Role:
We’re looking for an engaging and knowledgeable professional with deep expertise in securities industry rules and regulations. In this role, you’ll oversee the daily activity of Financial Advisors and Private Wealth Management (PWM) branch associates in accordance with our firm’s written supervisory procedures, helping ensure a strong culture of compliance, accountability, and client-first decision making.
You’ll build trusted relationships with PWM Branch Managers and Corporate Resource Groups (CRG), serving as a key partner. You’ll provide expertise in discovering, escalating, resolving and following-up on issues and frequently identified patterns of behavior that required additional research and surveillance.
Success in this role comes from your ability to communicate with clarity, navigate complex and sensitive situations with confidence, and collaborate across teams to deliver practical, thoughtful solutions. You’ll serve as a subject matter expert in securities laws, regulations, products, and ethical standards, helping teams succeed while upholding the highest standards of integrity.
The Impact You’ll Make:
- Oversee daily supervision of product and service offerings, leveraging tools and expertise to identify, escalate, resolve, and follow up on issues. Responsible for thorough investigation, documentation, and timely resolution.
- Enforce the firms written supervisory policies and procedures, continually assess them to identify improvement opportunities and work with the Compliance and other CRG Departments to enhance them.
- Primary point of contact on more complex and sensitive issues and escalations from assigned Branch Managers
- Proactive education of field associates and policies & procedures in the areas of Compliance & Supervision.
- 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.
- Travel to assigned PWM branches (<25%)
- Handle escalations from PWM Supervision Officers regarding complex and sensitive issues.
- Expert in utilizing compliance desktop tools and driving improvement opportunities.
- Participate in or lead projects as required.
What You’ll Bring to Baird:
- A minimum of 5 years of experience in brokerage/investment advisor compliance, supervision and/or operations role.
- FINRA SIE, Series 7, 9, 10 and 66 registrations (or equivalent) and life/health license.
- Expert on the laws, regulations, products and ethical standards of the securities industry.
- Superior oral and written communication skills and experience resolving sensitive issues with composure and a partnership mindset
- Demonstrated problem solving skills and ability to drive changes to policy, procedures, systems and processes as issues are identified.
- Proven ability to work in a geographically dispersed organization.
- Driver of continuous improvement
- Positive attitude, enthusiastic about working in compliance and regulated environment
- Bachelor’s degree in Business, Finance, or Accounting or equivalent combination of work experience and schooling is required.
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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.
Skills Required
- 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
- Life and health insurance 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
- Problem-solving skills and ability to improve policies, procedures, systems, and processes
- Ability to work in a geographically dispersed organization
- Bachelor's degree in Business, Finance, or Accounting, or equivalent combination of work experience and education
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 portrayed as a standout, with 401(k) match and profit-sharing cited as notable strengths that enhance long-term financial security.
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Parental & Family Support — Paid parental leave is highlighted as generous, with clear support for both primary and secondary caregivers, alongside adoption assistance.
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Leave & Time Off Breadth — Paid holidays and PTO that increases with tenure are emphasized as above average, contributing to overall benefits satisfaction.
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.
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