Senior Supervision Officer

Senior Supervision Officer Robert W. Baird - 4.0 Milwaukee, WI Job Details 14 hours ago Qualifications Management Regulatory compliance Series 7 Supervising experience Securities law compliance support Continuous improvement Securities Industry Essentials Securities law Life & Health Insurance License Experience practicing in the securities industry Full Job Description Our Private Wealth Management Corporate Support teams partner with associates nationwide to align business goals and implement strategy across 160+ locations in 33 states. Milwaukee, WI Private Wealth Management

R2026729

Remote 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 (