Baird

1 week ago

Senior Annuity & Insurance Supervision Officer

✓ Verified Job

Canonical indexed version, validated from employer's careers page.

Source: Company careers pageValidated by: Fursa AI

Last checked: 14 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

Website LinkedIn

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Baird

1 week ago

Senior Annuity & Insurance Supervision Officer

✓ Verified Job

Canonical indexed version, validated from employer's careers page.

Source: Company careers pageValidated by: Fursa AI

Last checked: 14 hours agoStatus: Live

Job Summary

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

Industry: Wealth Management

Company Size: Enterprise (1,001+ employees)

Revenue: USD 1B+

Growth: Established Company

Headquarters: Milwaukee, United States

Founded: 1919

Website LinkedIn