Senior Supervision Officer

About the Role:

Were looking for an engaging and knowledgeable professional with deep expertise in securities industry rules and regulations.In this role youll oversee the dailyactivityof Financial Advisors and Private Wealth Management (PWM) branch associatesin accordance withourfirms written supervisory procedures helping ensure a strong culture of compliance accountability and client-first decision making.

Youll build trusted relationships with PWM Branch Managers andCorporate Resource Groups (CRG)serving as a key partner.Youll provideexpertise 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. Youll serve as a subject matter expert in securities laws regulations products and ethical standardshelping teams succeed while upholding the highest standards of integrity.

The ImpactYoullMake:

• 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.

• Travelto 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.

WhatYoullBring to Baird:

• A minimum of 5 years of experience in brokerage/investment advisor compliance supervision and/or operations role.

• FINRASIESeries 7 9 10 and 66 registrations(or equivalent)andlife/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 composureand 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

• Bachelors degree in Business Finance or Accounting or equivalent combination of work experience and schooling is required.

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