Senior Securities Compliance Supervisor
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Finance & Banking
Regulatory Compliance Specialist -
Management
Regulatory Compliance Specialist
Job Description & How to Apply Below
Baird is seeking an engaging and knowledgeable compliance professional to oversee daily supervision of Financial Advisors and PWM branch associates, ensuring adherence to written procedures and a client-first approach.
You will partner with PWM Branch Managers and Corporate Resource Groups, resolving issues, escalating where needed, and applying expertise in securities laws, regulations, products, and ethics to guide teams.
The Senior Securities Compliance Supervisor role at Baird is now open for applications in Milwaukee, WI, United States.
The position is based in Milwaukee, WI, United States.
This opportunity is part of our work in Legal.
The advertised compensation is 90..
We aim to respond to suitable candidates as soon as possible.
Full responsibilities and requirements are described in the listing above.
Learn more about the Senior Securities Compliance Supervisor role in the description above.
Position Requirements
10+ Years work experience(If this job is in fact in your jurisdiction, then you may be using a Proxy or VPN to access this site, and to progress further, you should change your connectivity to another mobile device or PC).
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