Compliance Officer â PWM Branch Oversight
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Job Location:
Milwaukee, WI - USA
Yearly Salary:
$ 61000 - 89000
Posted on:
30+ days ago
Vacancies:
1 Vacancy
Job Summary
About the Role:
Are you committed to upholding the highest standards of integrity and client service in financial services Join Bairds PWM Branch Oversight Team and contribute to the success of our growing Private Wealth Management (PWM) business. As a Compliance Officer you will play a pivotal role in protecting the firms reputation and fostering a culture of accountability and trust.
The Branch Oversight Team leads essential compliance functions including branch inspections supervision oversight recruit onboarding location reviews and others. You will collaborate with stakeholders across the firm to identify and resolve complex compliance matters and drive continuous improvement.
This position allows working from a home office but requires travel to our various offices as needed approximately 4-6 times per year. We provide the necessary equipment collaboration tools and resources to ensure a productive remote work environment.
The Impact Youll Make:
Lead and participate in strategic projects related to regulatory changes risk mitigation and process enhancement.
Provide timely and accurate guidance to branch associates via dedicated inbox and phone support.
Conduct on-site and remote branch inspections including presentations and interviews with Financial Advisors and Supervisors.
Evaluate and report on the effectiveness of supervisory systems and controls.
Draft update and maintain firm policies and team desktop procedures.
Deliver compliance training and promote best practices among branch associates.
Foster strong cross-functional relationships with key internal partners.
What Youll Bring to Baird:
Bachelors degree or equivalent experience.
SIE and Series 7 preferred (or willingness to obtain within 12 months); opportunity to pursue Series 24.
35 years of experience in brokerage/advisory compliance supervision or operations.
Strong understanding of retail brokerage and investment advisor regulations.
Experience with branch inspections or supervisory roles preferred; travel approximately 30%.
Proficiency in Microsoft Excel OneNote Outlook and Teams.
Exceptional communication skills with the ability to navigate challenging conversations professionally.
Strong organizational skills and ability to manage multiple priorities effectively.
Collaborative mindset with a proactive approach to problem-solving and continuous improvement.
Compensation and Benefits:
$ annual salary range.
Bonus potential up to 20% of base pay.
Compensation and bonus are commensurate with experience performance and/or firm profitability.
Youll have the opportunity to advance your career while enjoying our comprehensive benefits designed for your life career and future.
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.
Required Experience:
Unclear Seniority
Key Skills
- Compliance Management
- Risk Management
- Financial Services
- PCI
- Banking
- Cost Accounting Standards
- Quality Systems
- Research Experience
- NIST Standards
- Securities Law
- SOX
- ISO 27000
About Company
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