Senior Annuity & Insurance Supervision Officer

Baird
Milwaukee
Workplace: RemoteFull timeFunction: Insurance & ActuarialEducation: bachelorsSkills: ["Communication","Sound judgment","Organizational skills","Analytical skills","Attention to detail"]

Review daily annuity and insurance transactions to ensure completeness, suitability, best-interest considerations, and alignment with firm policies and supervisory standards. Serve as a subject-matter resource to Financial Advisors and branch leadership on supervision requirements, documentation expectations, and regulatory guidance. Escalate and track higher-risk issues, document decisions clearly, and monitor trends to recommend training, process improvements, and control enhancements in a highly regulated environment.

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Baird
Baird
1 month ago

Senior Annuity & Insurance Supervision Officer

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Source: Company careers pageValidated by: Fursa AI
Last checked: 4 hours agoStatus: Live

Job Summary

Review daily annuity and insurance transactions to ensure completeness, suitability, best-interest considerations, and alignment with firm policies and supervisory standards. Serve as a subject-matter resource to Financial Advisors and branch leadership on supervision requirements, documentation expectations, and regulatory guidance. Escalate and track higher-risk issues, document decisions clearly, and monitor trends to recommend training, process improvements, and control enhancements in a highly regulated environment.
Location: Milwaukee
Workplace: Remote
Employment Type: Full time
Job Function: Insurance & Actuarial
Seniority: Mid level

Key Responsibilities

  • •Review daily annuity and insurance transactions to evaluate completeness, suitability, best-interest considerations, and policy alignment.
  • •Identify documentation gaps, inconsistencies, or supervisory concerns and work with advisors and branch associates to obtain corrections or support.
  • •Escalate higher-risk, complex, or sensitive matters to management, regional Senior Supervisory Officers, Compliance, or control partners and follow through to resolution.
  • •Provide guidance and act as a subject-matter resource on supervisory requirements, documentation expectations, and transaction-related questions.
  • •Document supervisory reviews and decisions clearly and monitor recurring issues to recommend training, process improvements, and control enhancements.

Key Requirements

  • •Bachelor’s degree (or equivalent work experience) in the financial industry.
  • •FINRA SIE plus Series 7, 24, or 9/10, and a Life/Health license required.
  • •Certified Annuity Specialist designation preferred (or obtain within 12 months).
  • •Knowledge of Microsoft Excel, Word, and Adobe Acrobat.
  • •Superior oral and written communication skills with the ability to resolve sensitive, complex issues with composure.
Experience:Financial industryInsuranceAnnuity
Education:Bachelor's
Skills:CommunicationSound judgmentOrganizational skillsAnalytical skillsAttention to detail
Licenses:Life/Health license
Certifications:FINRA SIESeries 7Series 24Series 9/10Certified Annuity SpecialistLife/Health license
Tech Stack:Microsoft ExcelMicrosoft WordAdobe Acrobat

Company Brief

Baird
Robert W. Baird & Co. is an employee-owned financial services firm providing wealth management, investment banking, asset management, and capital markets services to individuals, institutions, and corporations across the U.S. and internationally.
Industry: Wealth Management
Company Size: Enterprise (1,001+ employees)
Revenue: USD 1B+
Growth: Established Company
Headquarters: Milwaukee, United States
Founded: 1919
WebsiteLinkedIn