Manager Account Transactions

About The Role:

This professional is responsible for leading the daily operations of the Account Transactions – Retail function within Baird’s Client Account Support department. The role oversees a geographically dispersed team of approximately 15 associates responsible for Private Wealth Management client cash, margin, and securities movement transaction activity. Success requires strong people leadership, sound operational judgment, deep knowledge of account transaction processes, and the ability to interpret and apply SEC, FINRA, and internal policies in a highly controlled environment.

The Account Transactions Retail Manager is accountable for driving consistent execution, service quality, risk mitigation, associate engagement, and continuous improvement across locations. This leader ensures the team is positioned to deliver timely, accurate, and client-focused support while maintaining regulatory standards and strengthening the branch and client experience.

This position will be based from Baird's headquarters in Milwaukee, WI with 4 days work from office and 1 day work from home flexibility.

The Impact You’ll Make

• Lead day-to-day operations of the Account Transactions – Retail team, ensuring accurate, timely, and compliant processing of client transactions
• Manage and develop a geographically dispersed team of approximately 15 associates by setting clear performance expectations, providing coaching, feedback, and development, and driving engagement and consistent team performance across locations
• Monitor workflow volumes, capacity, service levels, and quality metrics; adjust resources to meet evolving business needs
• Serve as a subject matter expert and escalation point for complex, high-risk, or non-routine transaction issues
• Ensure adherence to Written Supervisory Procedures (WSPs), internal controls, and regulatory requirements; oversee exception reviews and follow-up
• Partner with Compliance, Risk, branch partners, and Operations leadership to resolve issues and strengthen operational outcomes
• Translate regulatory, policy, and business changes into clear direction for associates
• Lead adoption of process, technology, and workflow enhancements to improve efficiency, scalability, and the client experience
• Analyze performance trends, error data, and rework to identify risks and implement continuous improvement actions
• Oversee relationships with vendors supporting transaction processing activities

What You’ll Bring to Baird

• Bachelor’s degree or equivalent combination of education and experience
• Minimum 7 years of relevant financial services, operations, or control environment experience
• Prior experience in leading, coaching, or developing associates preferred
• SIE and Series 99 license required or ability to obtain within 120 days
• Strong knowledge of account transactions, money movement, and servicing processes within a regulated financial services environment
• Understanding of SEC, FINRA, and internal control frameworks, including supervisory responsibilities
• Proven leadership ability with experience managing distributed teams and driving engagement
• Strong analytical, problem-solving, and decision-making skills in a risk-sensitive environment
• Effective communication and stakeholder partnership skills across business, operations, and control functions
• Ability to lead through change, ambiguity, and competing priorities while maintaining service quality
• Continuous improvement mindset with focus on operational efficiency, risk reduction, and client experience

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Baird is committed to diversity and provides employment opportunities to all employees and applicants for employment without regard to race, color, religion, sex, pregnancy, citizenship, national origin, age, disability, military service, veteran status, sexual orientation, gender identity or expression, genetic information, or any other status protected by law.