Compliance Officer PWM Branch Support and Oversight

1 month ago


Louisville, United States Robert W. Baird & Company, Inc. Full time

Conduct retail branch office examinations, including targeted interviews of Financial Advisors and On-Site Supervisors. Test, assess, document and report on the adequacy and effectiveness of PWM Supervision. Leverage resources to provide accurate and Compliance Officer, Compliance, Officer, Support, Financial Advisor, Branch Associate, Business Services



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