Wealth Management Client Associate

Jobtailor; Colorado; On-site; USD 60,000 - 90,000; Full time

Job summary

Jobtailor is seeking an experienced support professional to assist Investment Relationship Managers with sales, processing, and client service in Colorado. You will prepare investment proposals, manage calendars, and maintain client files while coordinating marketing efforts and ensuring regulatory compliance.

Requires a high school diploma and multiple licenses; five+ years in the investment industry preferred.

Qualifications

• High school diploma or equivalent is required.
• 5+ years in investment industry experience preferred.
• FINRA registrations and state life/health licenses are required or preferred.
• Knowledge of investment advisory and brokerage services is essential.
• Understanding of regulatory standards (FINRA/SEC) and firm policies.

Responsibilities

• Provide sales, processing, operational, administrative and customer service support to Investment Relationship Managers.
• Make and track appointments and prepare investment proposals and reviews.
• Organize paper flow and maintain client files and supplies.
• Answer phones, disseminate mail, and assist in business development.
• Meet with clients to review relationships and coordinate marketing campaigns.

Skills

Customer service

Relationship building

Appointment tracking

Marketing campaign coordination

Business development support

Education

High school diploma or equivalent

Tools

FINRA SIE

Series 7

Series 63/65/66

Life license

Variable Life license

Health license

Disability license

Job description

• 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

Requirements

• 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

Core Competencies

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.

Highest-signal resume keywords

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

ATS Optimization Keywords

Hard Skills

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

Soft Skills

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

Certifications & Qualifications

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

Industry Keywords

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