The Baldwin Group
Sr Financial Services Specialist
The Baldwin Group - Bethesda, Maryland, United States, 20894
Work at The Baldwin Group
Overview
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Overview
The Sr Financial Services Specialist works with the Practice President, Partners, and the Operations Specialist of The Baldwin Group Wealth Advisors to manage all aspects of the investment and wealth management client relationship. The ideal candidate should have a strong financial and customer service background specializing in providing exceptional client service and ensuring that all processes and procedures are efficiently completed to meet firm and regulatory compliance.
PRIMARY RESPONSIBILITIES: Work with advisors to provide a high level of client service to our RIA clients Assist in opening accounts, responding to client inquiries, and servicing existing accounts: transfers, deposits, and withdrawals, standing instructions for ETFs, periodic plans, and yearly distributions Coordinate periodic client investment reviews and assist with preparing portfolio presentations Complete the Client Fact Finder and Investor Profile Questionnaire and properly input client information in Stratus (CRM) Work closely with the Senior Operations Specialist to ensure all client cashiering and account maintenance requests are completed in a timely fashion Ensure that all departmental recordkeeping information is accurately maintained and documented Assist with client reporting and compliance-related requirements Coordinate with internal teams to complete ad-hoc departmental & compliance requests Ensure compliance with all financial regulations and internal policies
EDUCATION AND EXPERIENCE REQUIREMENTS: B.A. or B.S. degree in Business Administration, Finance, or a related field preferred Minimum of 3 years of experience in financial or securities operations This position
requires
a Series 65 license. However, candidates with an active Series 6, 7, 63, or 66 license who can obtain their Series 65 within 90 days of employment are also encouraged to apply.
KNOWLEDGE, SKILLS, AND ABILITIES REQUIRED: Strong knowledge of financial markets and securities Solid background in customer service reinforcing the Baldwin core values and establishing strong customer loyalty and confidence Excellent communication, interpersonal, and client service skills Highly organized, detail focused and reliable Knowledge of industry standards and regulatory requirements Proficiency in using digital tools and technology platforms for business operations
TECHNICAL, COMPUTER, AND SYSTEM-SPECIFIC SKILLS REQUIRED: Experience with investment tools and software Intermediate proficiency with MS Office products, including MS Word, MS Excel, MS PowerPoint, and MS Outlook
IMPORTANT NOTICE: This position description is intended to describe the level of work required of the person performing in the role and is not a contract. The essential responsibilities are outlined; other duties may be assigned as needs arise or as required to support the organization. All requirements may be subject to reasonable accommodations to applicants and colleagues who need them for medical or religious reasons.
EEOC (STATEMENT): BRP is an equal employment opportunity firm and strives to comply with all laws prohibiting discrimination based on race, color, religion, age, sex (including sexual orientation and gender identity), national origin or ancestry, disability, military status, marital status, and any other category protected by federal, state, or local laws. All such discrimination is unlawful, and all persons involved in the operations of the firm are prohibited from engaging in this conduct.
The starting pay is $70,000 - $75,000 annually. Salary is negotiable upon time of hire.
#LI-JR1
#LI-Hybrid
Click here for some insight into our culture!
The Baldwin Group will not accept unsolicited resumes from any source other than directly from a candidate who applies on our career site. Any unsolicited resumes sent to The Baldwin Group, including unsolicited resumes sent via any source from an Agency, will not be considered and are not subject to any fees for any placement resulting from the receipt of an unsolicited resume.
PRIMARY RESPONSIBILITIES: Work with advisors to provide a high level of client service to our RIA clients Assist in opening accounts, responding to client inquiries, and servicing existing accounts: transfers, deposits, and withdrawals, standing instructions for ETFs, periodic plans, and yearly distributions Coordinate periodic client investment reviews and assist with preparing portfolio presentations Complete the Client Fact Finder and Investor Profile Questionnaire and properly input client information in Stratus (CRM) Work closely with the Senior Operations Specialist to ensure all client cashiering and account maintenance requests are completed in a timely fashion Ensure that all departmental recordkeeping information is accurately maintained and documented Assist with client reporting and compliance-related requirements Coordinate with internal teams to complete ad-hoc departmental & compliance requests Ensure compliance with all financial regulations and internal policies
EDUCATION AND EXPERIENCE REQUIREMENTS: B.A. or B.S. degree in Business Administration, Finance, or a related field preferred Minimum of 3 years of experience in financial or securities operations This position
requires
a Series 65 license. However, candidates with an active Series 6, 7, 63, or 66 license who can obtain their Series 65 within 90 days of employment are also encouraged to apply.
KNOWLEDGE, SKILLS, AND ABILITIES REQUIRED: Strong knowledge of financial markets and securities Solid background in customer service reinforcing the Baldwin core values and establishing strong customer loyalty and confidence Excellent communication, interpersonal, and client service skills Highly organized, detail focused and reliable Knowledge of industry standards and regulatory requirements Proficiency in using digital tools and technology platforms for business operations
TECHNICAL, COMPUTER, AND SYSTEM-SPECIFIC SKILLS REQUIRED: Experience with investment tools and software Intermediate proficiency with MS Office products, including MS Word, MS Excel, MS PowerPoint, and MS Outlook
IMPORTANT NOTICE: This position description is intended to describe the level of work required of the person performing in the role and is not a contract. The essential responsibilities are outlined; other duties may be assigned as needs arise or as required to support the organization. All requirements may be subject to reasonable accommodations to applicants and colleagues who need them for medical or religious reasons.
EEOC (STATEMENT): BRP is an equal employment opportunity firm and strives to comply with all laws prohibiting discrimination based on race, color, religion, age, sex (including sexual orientation and gender identity), national origin or ancestry, disability, military status, marital status, and any other category protected by federal, state, or local laws. All such discrimination is unlawful, and all persons involved in the operations of the firm are prohibited from engaging in this conduct.
The starting pay is $70,000 - $75,000 annually. Salary is negotiable upon time of hire.
#LI-JR1
#LI-Hybrid
Click here for some insight into our culture!
The Baldwin Group will not accept unsolicited resumes from any source other than directly from a candidate who applies on our career site. Any unsolicited resumes sent to The Baldwin Group, including unsolicited resumes sent via any source from an Agency, will not be considered and are not subject to any fees for any placement resulting from the receipt of an unsolicited resume.