Supervision Analyst

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 reviewing 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 PWM branches and CRG departments while working in a high volume, fast paced environment. In this role, the PWM Supervision ?? will apply industry knowledge when responding to Field inquiries and 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.

As a Supervision Analyst, you will be responsible for:

• Execute the firms written supervisory policies and procedures.
• 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.
• Perform other duties as assigned

What we look for:

• Bachelor’s degree or industry experience comparable to bachelor’s degree.
• 2 years of prior industry and/or administrative work experience or an equivalent combination of education and experience from which comparable knowledge and abilities can be acquired.
• Must be willing to pursue SIE and Series 7, 66, 9 & 10 registrations as well and life & health insurance license.
• Proficient in Microsoft Office suite (Word, Excel, PowerPoint) with the ability to learn and effectively navigate Baird’s Private Wealth Management technology platforms (Thomson ONE, CRM, Liquid Office etc.).
• Excellent verbal and written communication skills (including e-mail); ability to adeptly exchange ideas and information.
• Emotional Intelligence - Able to communicate with respect using appropriate language and voice volume in all situations.
• Good interpersonal skills -- ability to effectively and proactively work with both external and internal clients and relate with others in order to accomplish work responsibilities and objectives. Willing and able to research and provide an answer or feedback within 24 hours of initial inquiry.
• Strong organizational skills -- consistent ability to prioritize workflow in order to achieve specific goals in a timely manner.
• Understand compliance regulations including the client complaint process and correspondence policies.
• Maintain client confidentiality in all situations.
• Proven reliability in attendance and performance.
• Strong work ethic.
• Detail oriented with an emphasis on accuracy. Critical thinking and proactive problem-solving skills.
• Staying current on firm policy and procedures in an ever-changing regulatory environment, being able to articulate the reason for certain requirements to clients as needed.
• Positive attitude, enthusiastic about working in compliance and regulated environment

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