Transition Process Coordinator

Baird•Milwaukee, WI

8d•Hybrid

About The Position

The Transition Process Coordinator plays a critical role in delivering efficient, seamless and compliant transitions for experienced Financial Advisors and their clients joining Baird. Working across Legal, Compliance, Operations, Marketing, IT, Recruiting, Branch Leadership and other Private Wealth Management teams. This role customizes transition plans, protects sensitive information, resolves complex account and product issues and helps ensure each onboarding is accurate and well-coordinated. This highly visible position combines detailed process coordination with independent judgment. In addition to supporting pre-transition and transition-day activities, the Transition Process Coordinator may serve as a remote or onsite Transition Specialist, support business continuity events and contribute to recruiting and firmwide projects. Approximately 45% of the role may involve Transition Specialist responsibilities and long-term travel.

Requirements

High school diploma required
Strong knowledge of account-opening, account-transfer and service-paperwork processes
Exceptional organization and attention to detail, with the ability to manage competing priorities, meet strict deadlines and produce accurate, reliable work
Sound independent judgment and discretion when handling confidential client, advisor, legal and business information
Strong critical-thinking and problem-solving skills, including the ability to identify risk, anticipate issues and coordinate practical solutions across multiple teams
Clear, professional written and verbal communication skills, with the confidence to explain requirements, influence decisions and work directly with Financial Advisors and clients
Ability to remain composed in fast-paced or high-pressure situations and adapt quickly as priorities, processes, forms or regulatory requirements change
Proactive, collaborative approach with the ability to work effectively both independently and as part of a team with limited supervision
Strong Microsoft Office skills, particularly Word and Excel, and the ability to learn Baird systems and technology quickly
Willingness and ability to travel for extended periods, including long-term assignments, based on transition needs (45%)

Nice To Haves

Bachelor's degree and one to two years of financial-services or related industry experience preferred
Experience with BETA Host, Liquid Office or similar systems is helpful

Responsibilities

Lead customized pre-transition planning with Legal and business partners, ensuring each approach aligns with regulatory requirements, contractual obligations and firm directives
Review client communications, disclosures, ADV supplements, business cards, stationery and other materials for accuracy, consistency and appropriate approvals before distribution
Partner with incoming Financial Advisors to coordinate team naming, websites, marketing materials, access needs, rep codes, systems and other onboarding preferences
Analyze client and product data to identify existing Baird relationships, assess whether positions, annuities and insurance products can be supported and coordinate solutions with the appropriate departments
Prepare Protocol mailings, client packets, account documentation and customized communications and ensure time-sensitive materials are delivered when the recruit joins
Coordinate transition-day account setup, including client categorization, ownership assignments, document preparation, new account opening, ACATS initiation and transfer tracking
Monitor account-opening and transfer activity, troubleshoot errors, follow through on outstanding items and review client accounts to confirm an accurate, seamless experience
Coordinate registrations, insurance carrier appointments, compliance forms and fee reimbursements, escalating risks or gaps to Legal, Compliance, branch leadership and transition partners
Respond to daily questions from Financial Advisors, clients, Transition Specialists, Client Relationship Group partners and branches with timely, practical solutions
Serve as a Transition Specialist as needed, remotely or onsite, including working directly with clients, preparing documentation, training Client Specialists and supporting advisor teams with minimal oversight
Implement and monitor legal, confidentiality, privacy, compliance and risk-management requirements throughout each transition and promptly elevate issues that could create risk for Baird or its clients
Act as a resource on firm products, technology, policies and procedures; train new recruits and Transition Specialists and connect advisors with the appropriate Baird departments
Support business continuity events by assessing branch interruptions, checking on associates, helping determine whether a branch should close and coordinating plans that preserve client service and trading capabilities
Maintain business continuity plans and Fusion records and send branch alerts when needed
Provide recruiting support by researching prospective Financial Advisors, building recruiting lists and packets, maintaining the FA Recruiting Toolkit and coordinating updated recruiting materials with branch leaders
Support operational reviews, advisor recruit visits, final-stage recruiting activities, acquisitions, team projects and the Lead Process Coordinator as business needs require