Wealth Management Client Associate

• Provide sales, processing, operational, administrative and customer service support to Investment Relationship Managers
• Make and track appointments
• Prepare investment proposals, reviews and routine correspondence
• Organize paper flow in accordance with firm record-keeping requirements
• Maintain client files and supplies
• Answer phones and open and disseminate mail
• Assist in business development under the direction of Investment Relationship Managers
• Meet with existing or new prospects
• Contact existing clients to review current relationships
• Plan and coordinate marketing campaigns and business development seminars
• Meet with internal departments to discuss joint business initiatives

• High school diploma or equivalent
• Five or more years of investment industry experience preferred
• FINRA SIE, Series 7, Series 63 and 65/or 66 registrations
• Life, variable life, health and disability licenses
• Strong knowledge of the financial services industry, specifically investment advisory and brokerage services
• Knowledge of internal policies, procedures, and associated regulatory requirements
• Experience with brokerage industry policies, processes and procedures
• Knowledge of FINRA and SEC regulatory standards and applicable regulatory bodies
• Understanding of the Wealth Management Advisor's business model, needs and key drivers
• Knowledge of the sales process
• Knowledge of internal administrative, compliance and operational procedures
• Strong communication, organization, problem-solving, prioritization, follow-up and relationship building skills
• Ability to comply with U.S. Bank policies and procedures, including the Code of Ethics and Business Conduct and workplace conduct and safety policies

Demonstrates strong knowledge of the financial services industry, particularly in investment advisory and brokerage services, while effectively supporting Investment Relationship Managers through administrative, operational, and customer service tasks. Proficient in compliance with regulatory standards and internal policies, with a focus on relationship building and business development.

• FINRA SIE Registration
• Series 7 Registration
• Series 63 Registration
• Series 65/66 Registration
• Investment Industry Experience

• Investment Proposal Preparation
• Client File Management
• Appointment Tracking
• Marketing Campaign Coordination
• Business Development Support

• Strong Communication Skills
• Organizational Skills
• Problem-Solving Skills
• Prioritization Skills
• Relationship Building Skills

• Life License
• Variable Life License
• Health License
• Disability License

• Financial Services Industry
• Investment Advisory
• Brokerage Services
• FINRA Regulatory Standards
• SEC Regulatory Standards