Associated Bank is an equal opportunity employer committed to creating a diverse workforce. We support a work environment where colleagues are respected and given the opportunity to perform to their fullest potential. We consider all qualified applicants without regard to race, religion, color, sex, national origin, age, sexual orientation, gender identity, disability or veteran status, among other factors. Applicants with a disability who need assistance applying for a position with Associated Bank are asked to email: careers@associatedbank.com
Job Summary
Ensure the effective delivery of investment products and services by providing a full complement of administrative support, customer service and sales support and related resources to one or more the licensed representatives and their customers. This position requires at minimum, a check of criminal background and credit records as a FINRA registered position.
Job Accountabilities
Independently and proactively support the sales team selling process to include recommending content and preparing presentation, in depth prospect research and updating customer profiles with analysis to identify cross sales opportunities. Use in depth knowledge of system to record and manage sales activities. Works closely with sales leads to monitor and report sales activities. Make recommendations to enhance sales tools, processes and systems. May participate in client meetings.
Provides administrative support to sales team with books of business for mid to high complexity. This may include proactive and advanced involvement in prospect and client correspondence. Coordination and analysis of data crucial to managing the book of business. Ensure office signage is compliant and brochures are current. Assist sales team by setting appointments and preparing necessary information for client reviews. Maintain client files by ensuring that relevant documentation if maintained.
Ensure effective transaction processing including inputting trade orders, submitting documentation to Operations and monitoring the required steps which follow. Perform financial planning data entry and enter CRM notes as directed. Coordinate with Operations as needed regarding documentation, procedures, commission accounting, etc. May function as a central point of contact between sales support, sales team, and operations in the absence of the supervisor.
Provides investment and insurance support by establishing new accounts for clients by inputting the information into the new account system and creating client files. Assist sales team with seminars, telemarketing, and other proactive steps to produce new business (i.e., developing newsletters, invitations, etc.). Review pending trade settlements to ensure timely payment and receipt of funds. Maintaining current knowledge of market activities and product offerings to ensure full support to sales team.
Develop and maintain comprehensive understanding of client goals and risk tolerance to provide superior client support and service including but not limited to problem solving, providing updates and answering questions regarding account activity, market quotations, trade transactions, process transaction requests, etc. while communicating changes to sales team. Ensures financial strategies are kept current and appropriately aligned with client objectives. Establishes, oversees and measures client service expectations.
May assist in the onboarding of new colleagues and may mentor other support team members. May participate in team projects and participates in line of business projects.
Maintain extensive knowledge of all AIS and Associated policies and procedures with an emphasis on BSA and KYC/KYA/CIP. Ensure consistency with regards to how policies and procedures are applied and followed. Works with sales team to ensure that account administration and risk management of each client relationship is in compliance with established policies, procedures, regulatory guidelines and business strategy. Can identify deficiencies, recommend solutions and implement changes to correct and bring issues to the attention of the supervisor. Assists in gathering documents for branch audits.
Education
Associate's Degree Required
Experience
2-4 years Experience in the financial services industry Required
4-7 years Experience in the investment and insurance field. Preferred
Licenses and Certifications
Series 6-Investment Company Product/Variable Life Contracts Representative Exam , Required
Series 63-Uniform Securities Agent State Law Exam , Required
Life & Health Insurance License , Required
Other Series 7 and 63/65 or Series 7 and 66 , Preferred
Compliance Statement
Fully complies with all applicable enterprise policies and procedures. Acts in compliance with all applicable laws and regulations as outlined in training materials, including but not limited to Bank Secrecy Act. Responsible for reporting suspicious activity to Financial Intelligence. Responsible to report all customer complaints as prescribed and procedure violations to management or HR. Responsible to report ethical concerns as needed to Associated’s anonymous Ethics Hotline.
Associated Bank is committed to working diligently with any colleague who needs an accommodation perform the essential functions of the job. Please contact the Leaves & Accommodations office to request an accommodation.
