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Company Name:
Approximate Salary:
Per Year
Location:
Cleveland, Ohio
Country:
United States
Industry:
Accounting/Finance
Position type:
Full Time
Experience level:
Entry Level
Education level:
Bachelor's Degree

Client Specialist (Cleveland, OH)

SUMMARY :

This professional is responsible for the client service & marketing 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. They will also participate in the Financial Advisors(s) business development efforts in alignment with the Financial Advisor(s) long-term business plan.

JOB RESPONSIBILITIES:

Client Service
  • 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.
  • Partner with Baird's Corporate Resource Groups and be knowledgeable of the services they are able to provide FAs, CAs and clients providing the best outcome for clients and the firm.
  • Answers all incoming Financial Advisors' phone calls and handles as appropriate. Initiates action and advises Financial Advisor of action taken. May contact potential clients with Financial Advisor's direction to introduce products.
  • May schedule client appointments and/or conference room for appointments.
  • Stay current and understand firm policy and procedures in an ever changing regulatory environment, being able to articulate the reason for certain requirements to clients as needed.
  • Communicate progress updates to clients, as needed, on more complex projects.
Marketing
  • May manage the Social Media strategy for Financial Advisor(s)/team, including LinkedIn, FA Website, Twitter, etc.
  • Maintain FA website, including periodic review calls with the provider. Prepare and present content ideas to FA.
  • 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.
  • Develop prospecting material/ book of services offered

Business Development
  • 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, previous days' activities and external websites.
  • Support FA business plan objectives and align individual goals with the plan.
  • Work with Financial Advisor(s) to directly generate new business and maintain/increase existing client relationships through various techniques including developing systems for cross-referencing and/or cross-selling that enhance client satisfaction, build client retention and create client loyalty.
  • Work with Baird Corporate Resources to create advanced client reports and potentially present these finding to clients. (Social Security Review, Financial Plan, Estate Documents Review, Insurance Quotes)

Operations
  • Initiates and completes all transactions required to fully service client accounts i.e. paperwork, correspondence, client request fulfillment and special projects as needed
  • Ensures compliance with Baird's policies regarding correspondence, books and records requirements including trade policies, seminars, and marketing.
  • 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.
  • Maintain primarily electronic files and ability to retrieve the information quickly as needed.
QUALIFICATIONS:
  • Bachelor's degree or industry experience comparable to Bachelor's degree.
  • 5-9 years of prior industry and/or administrative work experience or an equivalent combination of education and experience from which comparable knowledge and abilities can be acquired.
  • Must be Series 7/63 or 7/66 or 7/63/65 licensed.
  • Proficient in Microsoft Office suite (Word, Excel, PowerPoint) with the ability to learn and effectively navigate Baird's Private Wealth Management technology platforms (Thomson ONE, Albridge, Envestnet, CRM, Money Guide Pro, LiquidOffice etc.).
  • Excellent verbal and written communication skills (including e-mail); ability to adeptly exchange ideas and information.
  • Emotional Intelligence - Able to communicate with respect using appropriate language and voice volume in all situations.
  • Good interpersonal skills -- ability to effectively and proactively work with both external and internal clients and relate with others in order to accomplish work responsibilities and objectives. Willing and able to research and provide an answer or feedback within 24 hours of initial.
  • Strong organizational skills -- consistent ability to prioritize work flow of self and Financial Advisors in order to achieve specific goals in a timely manner.
  • Understands compliance regulations including the client complaint process and correspondence policies. Maintains client confidentiality in all situations.
  • Proven reliability in attendance and performance. Strong work ethic, 90% of your day is spent actively working on FA/Client requests.
  • Detail oriented with an emphasis on accuracy. Critical thinking and proactive problem solving skills.
  • Good analytical skills with ability to perform semi-advanced math.
  • Staying current and understanding firm policy and procedures in an ever changing regulatory environment, being able to articulate the reason for certain requirements to clients as needed.