Wealth Management Client Associate

Jobtailor; Portland (OR); On-site; USD 50,000 - 70,000; Full time

Job summary

U.S. Bancorp Advisors seeks an organized support professional to assist Financial Advisors with sales, processing, and client service.

The role involves scheduling, preparing investment proposals, and maintaining client files to ensure regulatory compliance and smooth operations. Experience in the brokerage space is preferred, with a focus on accurate record-keeping and multi-tasking in a fast-paced environment.

Qualifications

• High school diploma or equivalent; Bachelor's degree preferred.
• Two to four years of investment industry experience preferred.
• FINRA SIE and Series 6 or 7, 63 licenses and related life/health/ disability licenses may be required for incentives.
• SIE minimum preferred; familiarity with brokerage industry policies and regulatory standards.

Responsibilities

• Provides sales, processing, operational, administrative and customer service support to Financial Advisors.
• Performs administrative duties: scheduling, preparing proposals, reviewing correspondence, maintaining client files.
• Assists in business development: meeting prospects, reviewing relationships, planning marketing campaigns and coordinating joint initiatives.

Skills

Client relations

MS Office

Regulatory compliance

Analytical skills

Multi-tasking

Communication

Business development

Proprietary software

Scheduling

Education

High school diploma

Bachelor's degree preferred

Tools

Proprietary software

Job description

Responsibilities

• Provides sales, processing, operational, administrative and customer service support to Financial Advisors of U.S. Bancorp Advisors.
• Performs administrative support duties to assist Financial Advisors 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 Financial Advisors 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.

Requirements

• 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, 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

Core Competencies

Demonstrates strong operational and administrative support capabilities for Financial Advisors, with a focus on compliance with regulatory standards and effective client relationship management. Proficient in business development initiatives and skilled in utilizing Microsoft Office applications and proprietary software.