This job has expired and you can't apply for it anymore. Start a new search.
Company Name:
Approximate Salary:
Per Year
Milwaukee, Wisconsin
United States
Position type:
Full Time
Experience level:
Entry Level
Education level:
Bachelor's Degree

Supervision Analyst- Private Wealth Management

Are you looking for a new challenge and opportunity to contribute to a thriving, global financial services firm? Are you ready to work hard in a collaborative culture while maintaining balance with your personal life? Consider the Supervision Analyst- Private Wealth Management position at a #4 ranked Fortune magazine's 100 Best Companies to Work For.

As a Supervision Analyst, you will:

  • Enforce the firms written supervisory policies and procedures.
  • Be responsible for review and approval of asset disbursements and client authorization documentation. Provide answers to transaction inquiries.
  • Review inbound & outbound communications to ensure they are appropriate in terms of content and regulatory standards
  • Document, research and analyze problems.
  • Escalate supervisory issues as warranted and provide relevant recommendations as to appropriate actions to be taken
  • Provide support to other PWM Supervision Department members with projects and initiatives.
  • Have regular interactions with the field and partner closely with Senior Supervision Officers
  • Perform other duties as assigned

What makes this opportunity great:
  • Team of associates passionate about achieving great results for clients and give back to the communities where we live and work
  • Unique culture that values diverse backgrounds and perspectives while emphasizing teamwork and a strong sense of partnership
  • Compelling careers working side-by-side with the best in the business

What we look for:

We are seeking a positive professional who has a true interest in investing and the rules and regulations of the securities industry. This position is responsible for supervising the daily activity of Financial Advisors and other PWM branch associates in accordance with the firm's written supervisory procedures. The right candidate will have the ability to build positive relationships with Private Wealth Management branches and Client Resource Group departments while working in a high volume fast paced environment. In this role, the PWM Supervision Analyst will apply industry knowledge when responding to field inquiries and transaction requests while ensuring client protection. This individual will be expected to increase their knowledge and application of the laws, regulations, products and ethical standards of the securities industry. In additional the ideal candidate would demonstrate the following:
  • Bachelor's degree or equivalent work experience in financial industry
  • Must currently hold Series 7, 9/10, 66 and life/health. Or be willing to obtain 7, 9/10 within 6 months of employment and 66 and life/health within first 12 months of employment
  • Knowledge of Microsoft Excel, Word and Adobe Acrobat
  • Exceptional customer service and interpersonal skills
  • Ability to identifying potential areas of concern while prioritizing work assignments
  • Strong organizational skills and attention to detail
  • Detail-oriented with strong problem solving and analytical skills.

Who we are:

Baird is an employee owned, international wealth management, capital markets, private equity and asset management firm with offices in the United States, Europe and Asia. Established in 1919, Baird has more than $167 billion in client assets and over 3,300 associates serving the needs of individual, corporate, institutional and municipal clients.

Baird has built an environment of trust, respect and teamwork, where associates are our greatest asset. Committed to being a great place to work, Baird ranked No. 4 on Fortune's 100 Best Companies to Work For in 2017, its fourteenth consecutive year on the list. To learn more about Baird's culture, click here.