Client Specialist

Baird; Milwaukee (WI); On-site; USD 55,000 - 75,000; Full time

Job summary

Baird seeks a Client Specialist to support Financial Advisors by coordinating client onboarding, managing the prospect pipeline, and preparing new accounts. You will open accounts, transition assets, and maintain ongoing service plans with a focus on accuracy and compliance.

The role requires strong MS Office skills, excellent communication, and the ability to work collaboratively in a fast-paced environment while supporting seminars and client events.

Qualifications

• 2+ years of prior industry and/or administrative work experience.
• Active SIE Exam, Series 7, and Series 66 or Series 63 and Series 65 licenses or willingness to study within 12 months of hire.
• Proficient in Microsoft Office suite with the ability to learn and navigate Private Wealth Management technology platforms.
• Excellent verbal and written communication skills.
• Detail oriented with an emphasis on accuracy.
• Strong organizational skills and ability to prioritize workflow.
• Understanding of compliance regulations and confidentiality.

Responsibilities

• Coordinate client onboarding, manage prospect pipeline, assist with proposal generation, prepare new account paperwork, and open accounts.
• Transition assets to client accounts and establish ongoing client service plans.
• Maintain CRM and leverage it for mailings, reporting, and client communications.
• Support FA(s) with seminars/events and develop client lists and meeting materials.
• Provide back-up to other teams and ensure regulatory policy adherence.
• Review investment opportunities daily and notify FA(s) to act on opportunities.

Skills

Client service

Communication skills

Microsoft Office

Attention to detail

Organizational skills

Regulatory compliance

Team collaboration

Education

Bachelor's degree (preferred)

Tools

Microsoft Office

Job description

As a Client Specialist, you will:

Be responsible for the client service and business operation functions of one or more Financial Advisors following a wealth management or portfolio management business approach, including any operational functions necessary to meet client service requirements.

• Responsible for client onboarding coordination, which includes managing Financial Advisor(s) prospect pipeline, assisting with proposal generation, preparing new account paperwork, opening accounts, transitioning new assets to Baird and establishing an ongoing communication/client service plan.
• Gain knowledge of and leverage partnership with Baird’s Corporate Resource Groups to provide the best wealth management solutions to clients.
• Answers all incoming phone calls and handles as appropriate.Manages client needs where possible and advises Financial Advisor of action taken.
• May schedule client appointments and/or conference room for appointments.
• Assemble/generate materials including paperwork and reports for client meetings.
• Understand and ensure business adherence with firm and financial industry regulatory policies
• May manage FA and Team’s social media presence (website, LinkedIn, Twitter, etc.).
• Maintain Client Relationship Management (CRM) system for Financial Advisor(s), as well as leverage the platform to manage the client relationship through mailings, reporting, e-mail tracking, and more, with the goal of implementing well-defined client service models.
• May organize and coordinate seminars and client events at the direction of Financial Advisor(s). Develops client lists, designs material and seminar/meeting content, coordinates PowerPoint presentations and follows through with client contact.
• Seek ways to enhance FA(s) business effectiveness and marketability.
• Initiates and completes all transactions required to fully service client accounts i.e. paperwork, correspondence, client request fulfillment and special projects as needed
• May enter security orders including stocks, bonds, fixed income, options, annuities and other investment vehicle orders per Financial Advisors’ instructions or upon client’s verbal direction.
• May also provide back-up to other teams and the branch when necessary, as well as perform other duties and special projects as necessary.
• Proactively review investment opportunities on a daily basis & notify Financial Advisor(s) to take action on those opportunities with the goal of driving the Financial Advisors’ business. Specifically, this may include funds available/money line, maturing securities, reorg items, and previous days’ activities.

What makes this opportunity great:

• Flexible work-life balance is promoted
• Fast paced environment that will enable you to grow as a professional
• Team of associates passionate about achieving great results for clients and give back to the communities where we live and work
• Unique culture that values diverse backgrounds and perspectives while emphasizing teamwork and a strong sense of partnership
• A strong, stable employee-owned firm recognized as a great place to work since 2004.
• Baird provides significant technology training, plus extensive one-on-one training and support

What we look for:

• 2+years of prior industry and/or administrative work experience.
• Active Securities Industry Essentials (SIE) Exam, Series 7, and Series 66 or Series 63 and Series 65 licenses or be willing to study and obtain within 12 months of hire. Training and resources to be provided and paid for by Baird.
• Focus on excellent client service.
• Proficient in Microsoft Office suite (Word, Excel, PowerPoint) with the ability to learn and effectively navigate Baird’s Private Wealth Management technology platforms
• Excellent verbal and written communication skills; ability to adeptly exchange ideas and information.
• Detail oriented with an emphasis on accuracy.
• Strong organizational skills – consistent ability to prioritize workflow of team to achieve specific goals in a timely manner.
• Understands compliance regulations and correspondence policies. Maintains client confidentiality in all situations.
• Good analytical and critical problem-solving skills
• Bachelor’s degree preferred, not required.

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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.