Milwaukee, Wisconsin, United States · On-site
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 Pri…
Skills: Securities Industry Regulations, Compliance Oversight, Risk Management, Investigation, Problem Solving
Chicago, Illinois, United States · On-site
$175k–$200k/yr
Complex deals, real ownership, and career momentum. Grow further at Baird. Baird is where investment banking careers gain real traction. Associates take on meaningful responsibility, work closely with senior bankers an…
Skills: Financial Modeling, Company Valuations, Mergers and Acquisitions, Public Equity Offerings, Strategic Financial Advisory
West Palm Beach, Florida, United States · On-site
As a Client Specialist, you will: Be responsible for the client service and business operation functions of one or more Financial Advisors following a wealth management or portfolio management business approach, includin…
Skills: Client Service, Wealth Management, Client Onboarding, CRM Management, Regulatory Compliance
Louisville, Kentucky, United States · On-site
About the Role: Baird Trust is growing by introducing Baird financial advisors and their clients to our first-class trust services. The Trust Strategist and Legal Administrative Assistant primarily supports a team of Tru…
Skills: Administrative Support, CRM Management, Scheduling, Onboarding, Marketing Material Creation
Milwaukee, Wisconsin, United States · On-site
About the Role: Join our Conference Services team to support the planning, coordination, and execution of high-level events for prominent clients. This role is ideal for an energetic, detail-oriented professional who thr…
Skills: Event Planning, Logistics Management, Budget Development, Vendor Management, Project Coordination
Anchorage, Alaska, United States · On-site
About the Role: As a Client Assistant at Baird, you’ll play a pivotal role in delivering outstanding client service and operational support to one or more Financial Advisors. You’ll be at the heart of the client experien…
Skills: Client Onboarding, CRM Management, Financial Industry Regulation, Microsoft Office Suite, Client Relationship Management
Milwaukee, Wisconsin, United States · On-site
About the Role: The Private Wealth Management (PWM) Marketing Consultant serves as a strategic growth partner to Market Directors, Branch Leaders, Financial Advisors, and support staff across assigned markets and branche…
Skills: Strategic Marketing Planning, Consultative Selling, Project Management, Financial Services Marketing, Client Relationship Management
Seattle, Washington, United States · Hybrid
$192k–$277k/yr
About the Role: Serves high net worth and institutional clients as Portfolio Manager within Baird Trust Company. Ongoing tasks include portfolio management, client service and investment review meetings, business develop…
Skills: Portfolio Management, Client Service, Investment Review, Business Development, Fiduciary Principles
Tysons, Virginia, United States · Hybrid
$28/hr–$38/hr
About the Role: We are looking for a talented Administrative Assistant to support our Global Investment Banking team! Join us and find out why we have been a Fortune Best Place to Work since 2004! As an Administrative As…
Skills: Data Entry, Calendar Management, Travel Coordination, Expense Processing, Microsoft Office
Milwaukee, Wisconsin, United States · On-site
We are seeking a client service individual who is highly driven and successful at managing multiple priorities. This position supports a dynamic sales team. The environment is fast-paced and excellence is expected. Indiv…
Skills: Scheduling, Logistics Coordination, Calendar Management, CRM Maintenance, Client Relationship Management
Dallas, Texas, United States · On-site
About the Role: The Branch Administrative Supervisor (BAS) is primarily responsible for supervising the work of the branch support staff, including onboarding, training, development, and ongoing associate communication. …
Skills: Staff Supervision, Onboarding, Performance Management, Workflow Prioritization, Client Service
Milwaukee, Wisconsin, United States · Hybrid
About the Role: Serves high net worth and institutional clients as Portfolio Manager within Baird Trust Company. Ongoing tasks include portfolio management, client service and investment review meetings, business develop…
Skills: Portfolio Management, Client Service, Investment Review, Business Development, Investment Policy Statement
Phoenix, Arizona, United States · On-site
About the Role: The Associate Financial Advisor provides specialized services to an individual Financial Advisor or Financial Advisor team to assist in their ability to offer sophisticated wealth management solutions to …
Skills: Financial Planning, Portfolio Management, Investment Analysis, Wealth Management, Client Relationship Management
London, England, United Kingdom · Hybrid
About the Role: Join Baird’s Europe HR team as a Benefits & Payroll Advisor, supporting associates across our London and Frankfurt offices in a hybrid role (3 days per week in the office). In this position, you’ll play a…
Skills: Benefits Administration, Payroll Coordination, Pension Administration, Vendor Management, Data Validation
Milwaukee, Wisconsin, United States · On-site
About the Role: As a PWM Transition Specialist, you will play a critical role in welcoming experienced Financial Advisors and their teams to Baird and setting them up for long-term success. This highly visible, relations…
Skills: Client Service, Relationship Management, Account Setup, Compliance Standards, Problem Solving
London, England, United Kingdom · On-site
About the Role: At Baird, our Investment Bankers are dedicated to excellence and quality, fostering a team-oriented environment that leads to outstanding results and employee fulfillment. We are seeking an Investment Ban…
Skills: Company Valuations, Financial Modeling, M&A, Debt Advisory, Portfolio Management
Milwaukee, Wisconsin, United States · On-site
As a Client Specialist, you will: Be responsible for the client service and business operation functions of one or more Financial Advisors following a wealth management or portfolio management business approach, includin…
Skills: Client Service, Wealth Management, Client Onboarding, CRM Management, Regulatory Compliance
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Oversee the daily activities of Financial Advisors and PWM branch associates to ensure compliance with written supervisory procedures and securities laws. Identify, escalate, and resolve complex regulatory issues while partnering with branch managers and corporate resource groups.
Requires a minimum of 5 years of experience in brokerage/investment advisor compliance or operations and a bachelor's degree in Business, Finance, or Accounting. Must hold FINRA SIE, Series 7, 9, 10, and 66 registrations, as well as a life/health license.
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.
#LI-PWM2
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.
Global Financial Expertise Focused on You. Discover the Baird Difference.
Since 1919, Baird has guided families, businesses, communities and institutions toward their financial goals. Being privately held enables us to prioritize long-term planning and investment – for our clients and the firm – without having to weigh those against the quarterly expectations of outside shareholders. Today Baird offers wealth management, investment banking, asset management, fixed income and equity sales and trading, equity research, public finance and private equity services. This balance of cyclical and counter-cyclical businesses provides financial strength and stability across market environments and enables us to consistently reinvest in our ability to serve clients. We manage or oversee more than $560 billion in client assets and employ more than 5,400 Associates around the world. And, because nearly 85% of our associates are Baird stockholders, you can trust we all share a personal stake in your success. For more than 20 consecutive years, Baird has been one of the FORTUNE 100 Best Companies to Work For®, making us a workplace of choice for some of the most talented, passionate people in financial services. It also enables us to emphasize cultural compatibility in those we hire, many of whom stay their entire careers. All of this helps ensure the quality and consistency of our advice for clients and the timeless values that make the Baird Difference every day for our clients, our Associates and the communities we share. For more information, please visit https://www.rwbaird.com/bairddifference/.
Offices: 777 East Wisconsin Avenue, Milwaukee, WI 53233, US · 227 West Monroe Street, Chicago, IL 60606, US · 15 Finsbury Circus, London EC2M, GB · 500 W. Jefferson Street, Suite 700, Louisville, KY 40202, US
Global Financial Expertise Focused on You. Discover the Baird Difference.
Since 1919, Baird has guided families, businesses, communities and institutions toward their financial goals. Being privately held enables us to prioritize long-term planning and investment – for our clients and the firm – without having to weigh those against the quarterly expectations of outside shareholders. Today Baird offers wealth management, investment banking, asset management, fixed income and equity sales and trading, equity research, public finance and private equity services. This balance of cyclical and counter-cyclical businesses provides financial strength and stability across market environments and enables us to consistently reinvest in our ability to serve clients. We manage or oversee more than $560 billion in client assets and employ more than 5,400 Associates around the world. And, because nearly 85% of our associates are Baird stockholders, you can trust we all share a personal stake in your success. For more than 20 consecutive years, Baird has been one of the FORTUNE 100 Best Companies to Work For®, making us a workplace of choice for some of the most talented, passionate people in financial services. It also enables us to emphasize cultural compatibility in those we hire, many of whom stay their entire careers. All of this helps ensure the quality and consistency of our advice for clients and the timeless values that make the Baird Difference every day for our clients, our Associates and the communities we share. For more information, please visit https://www.rwbaird.com/bairddifference/.
Offices: 777 East Wisconsin Avenue, Milwaukee, WI 53233, US · 227 West Monroe Street, Chicago, IL 60606, US · 15 Finsbury Circus, London EC2M, GB · 500 W. Jefferson Street, Suite 700, Louisville, KY 40202, US
