Client Specialist

Baird • Milwaukee, WI

6d • Hybrid

About The Position

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. This role involves client onboarding coordination, managing the 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. You will gain knowledge of and leverage partnerships with Baird’s Corporate Resource Groups to provide the best wealth management solutions to clients. The role also includes answering all incoming phone calls and handling them as appropriate, managing client needs where possible, and advising the Financial Advisor of action taken. You may schedule client appointments and/or conference rooms, and assemble/generate materials including paperwork and reports for client meetings. Understanding and ensuring business adherence with firm and financial industry regulatory policies is crucial. You may manage the FA and Team’s social media presence (website, LinkedIn, Twitter, etc.). Maintaining the Client Relationship Management (CRM) system for Financial Advisor(s) and leveraging the platform for client relationship management through mailings, reporting, e-mail tracking, and more, with the goal of implementing well-defined client service models, is a key responsibility. You 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. Seeking ways to enhance FA(s) business effectiveness and marketability is encouraged. You will initiate and complete all transactions required to fully service client accounts, such as paperwork, correspondence, client request fulfillment, and special projects as needed. You 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. You 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 reviewing investment opportunities on a daily basis and notifying Financial Advisor(s) to take action on those opportunities with the goal of driving the Financial Advisors’ business is also part of the role. Specifically, this may include funds available/money line, maturing securities, reorg items, and previous days’ activities.

Requirements

• 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.
• 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.

Nice To Haves

• Bachelor’s degree preferred, not required.

Responsibilities

• 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.

Benefits

• 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
• Training and resources to be provided and paid for by Baird.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: Associate degree