AFAT Operations Specialist

Overview

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About The Role:

Baird’s Associate Financial Advice Team (AFAT) is a dedicated financial advisor team designed to service Baird associates. The team’s objectives are to offer a full Wealth Management Experience to Baird’s associates and their immediate family.

As an AFAT Operations Specialist, you’ll play a vital role in supporting the team’s client service strategy through operational excellence and direct client service. You’ll coordinate client onboarding, manage account transactions, prepare meeting materials, and maintain CRM systems to ensure a seamless client experience. This role also involves handling communications, assisting with marketing and engagement efforts, and partnering with internal business units to deliver best-in-class wealth management solutions.

It’s a dynamic opportunity to contribute meaningfully in a collaborative, service-driven environment.

• Onboarding coordination: preparing new account paperwork, opening accounts, transitioning new assets to Baird, and establishing an ongoing communication/client service plan.
• Initiate and complete all transactions required to fully service client accounts (paperwork, correspondence, client requests, and special projects as needed).
• Leverage partnerships with Baird’s Business Units and Corporate Resource Groups to enhance awareness and provide the best wealth management solutions to associates.
• Manage the team inbox and assist with incoming and outgoing phone calls.
• Assemble/generate materials for client meetings (paperwork and reports).
• Understand and ensure business adherence with firm and financial industry regulatory policies.
• Maintain CRM system for AFAT Advisors and leverage the platform to manage client relationships through mailings, reporting, e-mail tracking, and more.
• Assist with associate engagement and marketing and provide ideas on how to enhance client experience.
• Enter security orders including stocks, bonds, fixed income, options, annuities and other investment vehicle orders per AFAT Advisors’ instructions or client direction.

• 2+ years of prior industry and/or administrative work experience.
• Active SIE, Series 7, and Series 66 or Series 63 and Series 65 licenses or willingness to study and obtain within 18 months of hire. Training and resources provided by Baird. If not fully licensed, the title will be AFAT Operations Assistant.
• Excellent client/customer service skills and strong verbal and written communication (email, phone, in-person).
• Ability to handle high-volume workload with focus on client service.
• Strong analytical and problem-solving skills.
• Detail-oriented with an emphasis on accuracy.
• Strong organizational skills and ability to prioritize workflow to achieve goals in a timely manner.
• Understanding of compliance regulations and confidentiality.

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.

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