About the Role

Review retail and institutional communications, disclosures, notices, reports, forms, and correspondence for compliance with firm and industry rules. Rules and principals-based reviews of advertisements and correspondence from FINRA and SEC perspective.  Respond to internal and external inquiries regarding regulatory requirements. 

Key Responsibilities

• Serve as an internal expert resource on industry regulations and guidelines regarding advertising materials.
• Develops and maintains guidelines, manuals and processes for the review of advertising.
• Review and approve sales and advertising literature for registered products, SMA’s.
• Develop and implement effective methods and best practices for reviewing marketing communications.
• Collaborate with the Marketing team and control functions to evaluate current processes, identify areas for improvement, and implement solutions.
• Effectively track advertising and sales literature using applicable methods and tools per industry/company record retention requirements.
• Participates in applicable projects to make significant structural changes to the advertising compliance review process.
• Assist in researching and responding to comments and/or inquiries received from FINRA.
• Remain current and anticipate changes in the regulatory environment and/or reputational risks to the firm that may affect the firm’s review standards and marketing communications.
• Serve as primary contact for advertising compliance issues with the Firm’s FINRA analyst.
• Assist with special projects, as requested.

Qualifications

Education & Experience:

• Bachelor’s Degree required.
• FINRA 7 and 24 licenses required. Must already have licenses.
• 6+ experience in asset management industry and understanding of securities laws.
• 4+ experience in the review of marketing material

Knowledge:

• Must have experience reviewing and approving marketing materials for registered products including mutual funds and ETFs. Experience with reviewing SMAs is a plus.
• Knowledge of Investment Company Act of 1940, Investment Advisers Act of 1940 and FINRA Rules and Regulations.
• Knowledge of regulatory environment and some level of specific regulatory requirements for the Financial Services industry.
• Fundamental investment concepts, practices and procedures used in the securities industry. 
• Knowledge of financial markets and products.
• Familiarity with Red Oak Advertising Review and Recordkeeping System or a similar vendor preferred.

Skills and Abilities:

• Ability to handle multiple responsibilities across multiple entities and work independently.
• Ability to interact professionally and effectively with internal and external contacts using tact, discretion and good judgment.
• Ability to manage high volumes of work under tight deadlines while maintaining accuracy and minimizing risk.
• Excellent analytical and research skills.
• Ability to work in team-oriented environment.
• Excellent written and verbal communication skills.
• Ability to prioritize and organize workload, multi-task and adapt quickly to change, and deliver under the pressure of deadlines.
• Ability to provide and receive constructive criticism and manage expectations.

About the Opportunity

We are continuously seeking talented individuals to join Baron Capital. If you are interested in exploring potential career opportunities with us, we encourage you to submit a general application below.

Please submit your resume and a cover letter highlighting your qualifications and career goals. We will keep your application on file and contact you if a suitable position arises.

About the Opportunity

We are continuously seeking talented individuals to join Baron Capital. If you are interested in exploring potential internship opportunities with us, we encourage you to submit a general application below.

Please submit your resume and a cover letter detailing your academic background, areas of interest, and career aspirations. We will keep your application on file and contact you if a suitable position arises.

About the Role

The Regional Director is a driven and committed sales professional.  The Regional Director will be responsible for cultivating and maintaining relationships within the RIA channel as well as Bank Trust organizations and Single and Multi-Family Offices, delivering our growth equity strategies to these distribution channels.  

The Regional Director should be able to provide value-added support in a consultative manner according to individual advisor needs for our RIA & Family Office West territory. This includes the ability to have in-depth conversations about our products and the investment environment and experience in the sales approach appropriate and specific to these channels. The Regional Director will be charged with all sales and client relationships for the territory and will work with an assigned hybrid wholesaler as a territory partner.   

West: This territory includes (subject to change) California, Oregon, Washington, Nevada, Alaska, and Hawaii. Target locations are the San Francisco or Los Angeles Metropolitan areas, as these are the key business hubs and provide the best access to travel throughout the territory.

Key Responsibilities

• Delivering our investment process and philosophy and demonstrating the uniqueness of each product
• Demonstrating a high degree of performance and ethics
• Managing all stages of the sales cycle, from prospecting to discovery to implementation, as well as ongoing management of the relationship once established
• Working well both as an individual and a member of a team
• Articulating strategies and how they relate to an individual or firm’s overall strategy and investment needs
• Delivering advanced sales presentations on Baron Capital’s portfolios and strategies
• Must have the ability to travel extensively (up to 75% of the time) with a high degree of accountability
• Documenting and significant use of Salesforce.com

Qualifications

Education/Experience:

• Minimum 3 years external financial services sales experience specific to the RIA channel, with a high degree of demonstrated success
• Bachelor’s degree a MUST, Master’s degree and/or CFA a plus
• Must have Series 7 and 63
• Existing coverage of a large part of this territory with existing relationships a significant plus
• Strong knowledge of the financial markets and ability to articulate accordingly

Knowledge and Skills:

• Demonstrated high level of performance and results in a recent/prior and similar financial sales role
• Ability to capture, increase, and retain market share
• Extensive & proven relationships with RIAs. Similar relationships with bank trust departments and family offices a plus
• In-depth industry and product knowledge
• Strength in building positive and effective internal and external relationships
• Excellent written and verbal communication skills
• Management of an assigned territory as your own business
• Experience developing and implementing sales and marketing business plans
• Highly accountable and self-motivated

About the Role

As a Research Assistant, you will directly support the Portfolio Manager(s) and Research Analysts on your team.

Your primary duties and responsibilities include providing administrative support to ensure efficient operation of the office. You will support analysts and/or portfolio managers through a variety of tasks, including but not limited to: scheduling meetings, researching conferences, booking travel & making itineraries, creating and submitting expense reports, arranging conference calls, maintaining current watchlists as well as new ideas on FactSet for portfolios and companies your PM/analyst cover or are interested in researching, ordering catering, keeping contacts up to date, obtaining and filing company information.

This individual will report directly to the VP, Director of Workplace Operations.  This team is comprised of 12 Research Assistants. The role will also involve coverage for other research assistants when needed.

Key Responsibilities

• Answer phone calls with proper call screening, forwarding, and message taking.
• Schedule meetings and appointments
• Coordinate with all necessary parties and gather all requested materials
• Work with the receptionist to make sure the calendar appointment has all of the necessary details, such as attendee names, agenda, conference room, catering requests, etc.
• When scheduling meetings with multiples analysts and PM’s must be able to work efficiently with other assistants
• Sort through emails and search for relevant events, meetings or calls that may be of interest
• Check for relevant conferences and present the information to the analysts/PMs; keep track of deadlines and ensure registration
• Act as a liaison with brokers, banks and investor relations representative
• Work with brokers and IR representatives to register PM’s/Analysts for Conferences and Investor Days and schedule any meetings that PM’s/Analysts find of interest. 
• Make sure PM’s Analysts have the most current agenda for Conference and Investor Day and add any presentations to calendar that they would like to attend. 
• Maintain and update contact lists
• Create or update documents and spreadsheets to help your analyst/PM streamline and organize his or her workload
• Produce and distribute correspondence
• Assist in the preparation of regularly scheduled reports
• Maintain a filing system
• Every quarter, keep track of the calendar for earnings calls.  This may include providing press releases, transcripts, estimates and research reports to your analysts/PMs in a timely fashion. This is done using Factset and or Bloomberg
• Book travel arrangements: including flights, car services, hotels and itineraries. 
• Maintain a list of all travel requirements including all hotel and airline points numbers, seat/airline preference, hotel preference
• Submit and reconcile expense reports
• Provide general support to visitors
• Take notes on calls upon request
• Work with other assistants when necessary to schedule meetings and conferences call, and make sure there is always adequate coverage
• Being a team player within the Research Assistant team
• Take on project work as needed which may include but not limited to maintaining new ideas, taking notes on earnings calls, and maintaining relationships with mgmt. companies

Qualifications

Education/Experience:

• 3-5 years administrative or executive assistant experience in a professional office setting.
• Preferred experience in the financial services industry
• Bachelor’s Degree

Knowledge and Skills/Abilities:

• Experience preparing expense reports and making travel arrangements
• Excellent time management skills and ability to multi-task and prioritize work in a fast-paced environment
• Highly motivated, result-oriented self-starter with good work ethic
• Attention to detail and outstanding listening and follow up skills.
• Team player who strives to creatively solve problems
• Excellent written and verbal communication skills
• Strong organizational and planning skills
• Proficiency in MS Office

About the Role

The Sales Analyst supports the sales and distribution organization, specifically the Intermediary Sales Team, by ensuring the team has the tools, data, and insights needed to operate efficiently and grow and retain assets. The role sits at the intersection of sales support, CRM ownership, and sales data analytics, partnering closely with internal and external sales professionals, marketing, strategy & sales enablement, and leadership teams to maintain data integrity, build reporting, and grow and retain assets.

The ideal candidate is highly detailed-oriented, analytically minded, and passionate about building scalable processes that help sales teams perform at a higher level.

Key Responsibilities

• Manage the Salesforce CRM platform for the Intermediary Sales Team, including cleaning and maintaining CRM data integrity, supporting team campaigns, and supporting broader firm sales initiatives
• Maintain CRM and accurate client contact information, and track engagement and activity across various wealth partner platforms
• Support team leadership by analyzing and maintaining key territory metrics, tracking wholesaler activity, and other management metrics providing clear, data driven insights that inform day-to-day management needs and support broader strategic decisions
• Develop and deliver reporting and analytics for sales campaigns, including generating targeted client lists, building, and structuring campaign outreach, and providing data‑driven insights for sales leadership
• Support external and internal sales efforts and financial advisor coverage such as assisting with literature fulfillment requests, Morningstar report portal comparisons, and ad hoc client requests
• Collaborate cross-functionally with teams such as the Strategy & Sales Enablement Team, National Accounts, and Marketing teams
• Assist with ad hoc Intermediary Team and other department requests sent to dedicated Sales Analyst inbox
• Work closely with the Investment Specialists, including attending weekly meetings andparticipating in presentation workshops
• Attend in-office firm events, meetings, and investment forums
• After 12 months, potential sponsorship for the FINRA Series 7 & 63 exams/licensing

Qualifications

Required:

• Undergraduate degree, preferably in finance, business, or economics
• Self‑motivated team player who is comfortable working in a fast‑paced environment, managing multiple tasks, and adapting to shifting priorities
• Passion for sales and knowledge of financial markets and basic economic principles
• Applies a user‑centered, analytical approach to organizing, interpreting, and managing data to support clear insights and recommendations
• Exemplary time management, organization, and execution skills
• Excellent interpersonal skills and willingness to be a team player

Preferred Qualifications:

• SIE (Securities Industry Essentials) exam passed prior to hire date
• Series 63 exam completed prior to hire date