Associate Financial Advisor

Nicolet National Bank; Dubuque (IA); On-site; USD 45,000 - 55,000; Full time

Benefits offered by this job

Medical, Dental, Vision Insurance

401(k) with company match

Paid Time Off & 11 1/2 Paid Holidays

Job summary

Nicolet National Bank is seeking an Associate Financial Advisor responsible for managing client relationships and providing financial advice. This role involves developing new client relations, supporting financial advisors, and managing client requests.

The ideal candidate has an undergraduate degree in a related discipline and must complete necessary licensing exams within 90 days. The bank values teamwork and offers competitive benefits including medical, dental, vision, and a 401(k) plan.

Qualifications

• 0-2 years of experience in the industry.
• Completion of FINRA SIE, insurance exams, Series 65, and/or Series 7 and 66 within 90 days.
• Demonstrates expert knowledge of Microsoft Office applications, especially Excel.

Responsibilities

• Manage existing client relationships and formulate advice.
• Develop new client relationships.
• Assist advisors in preparing paperwork and documents for client meetings.
• Manage CRM system for Advisors and clients.
• Support financial advisors with analysis and technical assistance.

Skills

Microsoft Office

Verbal communication

Written communication

Interpersonal skills

Organizational skills

Analytical skills

Confidentiality

Fast learning

Team player

Education

Undergraduate degree in Business, Accounting, Finance, or Economics

Tools

Salesforce

Financial planning software

Portfolio management system

Job description

At Nicolet National Bank, our culture is based on the principles of community banking, putting the needs of our customers at the forefront of our decision-making. Our Core Values drive everything we do, and we are committed to serving our customers with excellence. We believe that every job in our organization is critical to our success, and we are dedicated to creating a work environment where our employees feel valued, respected, and supported. With locations in Wisconsin, Michigan, Minnesota, Iowa, and Florida we are proud to service our local communities and make a positive impact on the lives of our customers. At Nicolet National Bank, we believe that our people are our most valuable asset, and we are committed to investing in their growth and development.

The Associate Financial Advisor is responsible for managing existing client relationships and formulating and implementing advice. They are also expected to develop new client relationships and often work with, train, and supervise other staff in client service delivery.

As an Associate Financial Advisor, you will:

Analytical:

• Work with Advisor to assist in preparing paperwork and documents for client meetings.
• Attend client meetings and prepare summary of notes from meetings.
• Analyze client information and prepare reports and presentations.
• Enter information into financial planning software and prepare draft plans.
• Analyze asset allocation and generate rebalancing trades.
• Research products and product pricing and contact carriers for information.
• Research investment managers and investment services and their pricing.
• Create custom spreadsheets for analyzing purchase decisions or planning scenarios.

Client Service:

• Manages CRM system (Salesforce) for Advisors and clients including entering meeting notes, performing account maintenance, entering trade cases, client management and accuracy of reports.
• Researches and responds to client inquires, changes and account maintenance.
• Handles requests for transfers of funds in and out of accounts.
• Enters or updates cost basis information.
• Fills out necessary forms for opening or maintaining accounts.
• Interfaces with the broker-dealer or custodian to obtain information or account data and convey service requests.
• Sets up and retrieves reports in the portfolio management system (e.g., Salesforce, Orion, Envestnet).
• Assists in generating performance reports.
• Maintains internal client file integrity.
• Manages CRM system (Salesforce) for Advisors and clients including entering meeting notes, performing account maintenance, entering trade cases, client management and accuracy of reports.
• Researches and responds to client inquires, changes and account maintenance.
• Handles requests for transfers of funds in and out of accounts.
• Enters or updates cost basis information.
• Fills out necessary forms for opening or maintaining accounts.
• Interfaces with the broker-dealer or custodian to obtain information or account data and convey service requests.
• Sets up and retrieves reports in the portfolio management system (e.g., Salesforce, Orion, Envestnet).
• Assists in generating performance reports.
• Maintains internal client file integrity.

General:

• Supports financial advisors with analysis, client service and technical assistance.
• Learns technical skills to prepare to service clients independently as a Financial Advisor.
• Engages in teamwork and teambuilding and integrates into the culture.
• Upholds Nicolet's philosophy and policies by maintaining appropriate controls to ensure full compliance with applicable laws and regulations, thereby fulfilling legal responsibilities and enhancing the quality of Nicolet.
• Understands the value of diversity within the workplace and to work successfully with others without regard to age, gender, race, sexual orientation, ethnicity, culture, religion, disability status, socioeconomic status or other non-job-related classification. A commitment to Nicolet's policies on equal employment opportunities and non-discrimination with a willingness to pursue efforts of inclusion and respect toward different perspectives.
• Performs all other duties as assigned.

Qualifications:

• Has earned an undergraduate degree in a related discipline such as Business, Accounting, Finance or Economics.
• Completion of FINRA Securities Industries Essentials (SIE), insurance exam, and Series 65 and/or Series 7 and Series 66 within the first 90 days of employment.
• 0-2 years of experience in the industry.
• PC, phone system, general office equipment.
• Demonstrates expert knowledge of Microsoft Office applications, especially Excel.
• Strong verbal and written communication skills and strong interpersonal skills.
• Ability to maintain strict confidentiality.
• Must be a team player, self-motivated, adaptable, and capable of making decisions with limited direction.
• Strong organizational, analytical and prioritizing skills.
• High degree of accuracy and attention to detail.
• Self-motivated and resourceful.
• Ability to effectively promote Nicolet as an employer of choice.
• Must possess a strong work ethic and be able to learn quickly in a fast-paced environment.
• Strong knowledge of bank products to help with building a full financial relationship.
• Ability to learn and adapt to new software applications.

Benefits:

• Medical, Dental, Vision, & Life Insurance
• 401(k) with a company match
• PTO & 11 1/2 Paid Holidays

The above statements are intended to describe the general nature and level of work being performed. They are not intended to be construed as an exhaustive list of all responsibilities and skills required for the position.

Equal Opportunity Employer/Veterans/Disabled