Wealth Management Client Associate

• Provides sales, processing, operational, administrative and customer service support to Investment Relationship Managers of U.S. Bancorp Investment Sales
• Makes and tracks appointments
• Prepares investment proposals, reviews and routine correspondence
• Organizes paper flow in adherence to the firm’s record-keeping requirements
• Maintains client files and supplies
• Answers phones and opens and disseminates mail
• Assists in business development at the direction of Investment Relationship Managers
• Meets with existing or new prospects
• Contacts existing client base to review current relationship
• Plans and coordinates marketing campaigns and business development seminars
• Meets 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
• SIE at a minimum preferred
• Experience with the policies, processes and procedures of the brokerage industry, FINRA and SEC regulatory standards and all applicable regulatory bodies
• 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
• Proficient with Microsoft Office applications and capacity to quickly adapt to proprietary software
• Applicants must be able to comply with U.S. Bank policies and procedures including the Code of Ethics and Business Conduct and related workplace conduct and safety policies

Demonstrates expertise in investment industry operations, compliance with FINRA and SEC regulations, and effective client relationship management. Proficient in coordinating business development initiatives and marketing campaigns while maintaining strong organizational and communication skills.

• FINRA SIE, Series 6 Or 7, 63 Registrations
• Investment Industry Experience
• Brokerage Industry Policies And Procedures
• Client Relationship Management
• Microsoft Office Proficiency

• Investment Proposal Preparation
• Client File Maintenance
• Business Development Support
• Analytical Skills
• Regulatory Compliance Understanding

• Effective Communication
• Organizational Skills
• Detail Orientation
• Ability To Handle Multiple Assignments

• FINRA SIE
• Series 6
• Series 7
• Series 63
• Life Insurance License
• Variable Life Insurance License
• Health Insurance License
• Disability Insurance License

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

• Proprietary Software
• Microsoft Office Applications