WM Affluent Associate

• Provides sales, processing, operational, administrative and customer service support to Investment Relationship Managers of U.S. Bancorp Investment Sales.
• Performs administrative support duties to assist Investment Relationship Managers such as: making and tracking appointments, preparing investment proposals/reviews/routine correspondence, organizing paper flow in adherence to the firm’s record-keeping requirements, maintaining client files and supplies, answering phones, opening and disseminating mail.
• Assists in business development at the direction of the Investment Relationship Managers such as: meeting with existing or new prospects, contacting existing client base to review current relationship, planning and coordinating marketing campaigns/business development seminars and meeting with internal departments to discuss joint business initiatives.

• High school diploma or equivalent (Bachelor's degree preferred)
• Two to four years of investment industry experience preferred
• To be eligible for business incentives, must have FINRA SIE, Series 6 or 7, 63 registrations and life, variable life, health and disability insurance licenses
• Experience with the policies, processes and procedures of the brokerage industry, FINRA and SEC regulatory standards and all applicable regulatory bodies, ensuring regulatory standards are met
• Ability to contact and profile existing clients, leads, and prospects
• Prior sales and service experience relating to Brokerage and Investment Advisory business is preferred
• Proven understanding of operations, policies, procedures, regulations and compliance requirements
• Strong analytical skills with an emphasis on detail
• Ability to handle multiple assignments simultaneously and work with deadlines while maintaining accuracy
• Effective communication and organizational skills necessary for day to day relationship management with both internal and external clients and partners
• Proficient with Microsoft Office applications and demonstrates capacity to quickly adapt to proprietary software

Demonstrates expertise in investment industry operations, regulatory compliance, and client relationship management, with strong analytical and organizational skills to support business development initiatives effectively.

• FINRA SIE Registration
• Series 6 or 7 Registration
• Series 63 Registration
• Investment Industry Experience
• Microsoft Office Proficiency

• Investment Proposal Preparation
• Client File Management
• Regulatory Compliance
• Business Development Support
• Appointment Tracking

• Effective Communication
• Organizational Skills
• Analytical Skills
• Detail Orientation
• Ability to Handle Multiple Assignments

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

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

• Proprietary Software
• Microsoft Office Applications