Senior Securities Compliance Supervisor
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Finance & Banking
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Management
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.
We are currently recruiting a Senior Securities Compliance Supervisor for our team in Milwaukee, WI, United States.
The Senior Securities Compliance Supervisor role at Baird is now open for applications in Milwaukee, WI, United States.
Join us at Baird as our next Senior Securities Compliance Supervisor in Milwaukee, WI, United States.
This is an excellent opening to take on the Senior Securities Compliance Supervisor role at Baird.
As a Senior Securities Compliance Supervisor, you will play an important part at Baird in Milwaukee, WI, United States.
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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