Client Assistant

Baird•Mequon, WI

About The Position

About the Role: As a Client Assistant at Baird, you’ll play a pivotal role in delivering outstanding client service and operational support to one or more Financial Advisors. You’ll be at the heart of the client experience—coordinating onboarding, managing communications, supporting account operations, and helping organize impactful client events. Your work will directly contribute to the success of Baird’s Private Wealth Management business, where true wealth management means understanding each client’s unique vision and tailoring solutions to help them succeed. Check out this video to learn more about the day in the life of our Client Assistants and Client Specialists! The Impact You’ll Make: Proactively review investment opportunities daily and notify Financial Advisor(s) to take action on those opportunities with the goal of driving the Financial Advisors’ business. This may include funds available/money line, maturing securities, reorg items, and previous days’ activities. Answer inquiries from internal associates and business partners in a professional and pleasant manner. Seek ways to enhance internal operations for the branch that provide FA(s) business effectiveness and marketability. Maintain Client Relationship Management (CRM) system for Financial Advisor(s), leveraging the platform to manage client relationships through mailings, reporting, e-mail tracking, and more, with the goal of implementing well-defined client service models. Process daily check deposits. Maintain knowledge of compliance policies for internal associate inquiries. Plan, coordinate, and arrange for vendor luncheons; set up and maintain conference rooms, office supplies, and restocking. Sort, process, and route incoming and outgoing mail. Copy, fax, and file various materials as needed. Responsible for client onboarding coordination, including 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. Answer all incoming phone calls and handle as appropriate. May schedule client appointments and/or conference rooms for appointments. Understand and ensure business adherence with firm and financial industry regulatory policies. May organize and coordinate seminars and client events at the direction of Financial Advisor(s), including developing client lists, designing material and seminar/meeting content, coordinating PowerPoint presentations, and following through with client contact. May manage FA and Team’s social media presence (website, LinkedIn, X, etc.). Initiate and complete all transactions required to fully service client accounts, including 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 provide back-up to other teams and the branch when necessary, as well as perform other duties and special projects as needed. Perform other duties as assigned.

Requirements

2+ years of relevant work experience.
Focus on excellent client service.
Expected to study for and obtain the Securities Industry Essentials (SIE) Exam and Series 7 and 66 licensures within 18 months of hire. Training and resources to be provided and paid for by Baird.
Proficient in Microsoft Office suite (Word, Excel, PowerPoint) with the ability to learn and effectively navigate Baird’s Private Wealth Management technology platforms.
Good verbal and written communication skills (including e-mail); ability to adeptly exchange ideas and information
Detail oriented with an emphasis on accuracy.
Organized with consistent ability to prioritize workflow of team to achieve specific goals in a timely manner.
Good analytical and critical problem-solving skills.

Nice To Haves

Bachelor’s degree preferred; not required

Responsibilities

Proactively review investment opportunities daily and notify Financial Advisor(s) to take action on those opportunities with the goal of driving the Financial Advisors’ business.
Answer inquiries from internal associates and business partners in a professional and pleasant manner.
Seek ways to enhance internal operations for the branch that provide FA(s) business effectiveness and marketability.
Maintain Client Relationship Management (CRM) system for Financial Advisor(s), leveraging the platform to manage client relationships through mailings, reporting, e-mail tracking, and more, with the goal of implementing well-defined client service models.
Process daily check deposits.
Maintain knowledge of compliance policies for internal associate inquiries.
Plan, coordinate, and arrange for vendor luncheons; set up and maintain conference rooms, office supplies, and restocking.
Sort, process, and route incoming and outgoing mail.
Copy, fax, and file various materials as needed.
Responsible for client onboarding coordination, including 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.
Answer all incoming phone calls and handle as appropriate.
May schedule client appointments and/or conference rooms for appointments.
Understand and ensure business adherence with firm and financial industry regulatory policies.
May organize and coordinate seminars and client events at the direction of Financial Advisor(s), including developing client lists, designing material and seminar/meeting content, coordinating PowerPoint presentations, and following through with client contact.
May manage FA and Team’s social media presence (website, LinkedIn, X, etc.).
Initiate and complete all transactions required to fully service client accounts, including 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 provide back-up to other teams and the branch when necessary, as well as perform other duties and special projects as needed.
Perform other duties as assigned.