Wealth Management Client Associate

Jobtailor; Wayzata (MN); On-site; USD 45,000 - 62,000; Full time

Job summary

U.S. Bancorp Investment Sales seeks an organized support professional to back Investment Relationship Managers. You will handle appointments, prepare proposals, and manage client files while ensuring regulatory compliance.

The role emphasizes attention to detail, multi-tasking, and effective communication as you assist in business development and coordinate campaigns with internal teams. Strong investment industry experience, FINRA registrations, and proficiency with Microsoft Office are highly

Qualifications

• High school diploma or equivalent; Bachelor's preferred.
• 2–4 years of investment industry experience preferred.
• FINRA registrations and life/health/ disability licenses desired.
• Familiarity with brokerage industry policies and SEC/ FINRA standards.
• Ability to profile clients, leads and prospects effectively.
• Prior sales and service experience in brokerage/investment advisory preferred.
• Strong regulatory compliance understanding.

Responsibilities

• Provide sales, processing, operational and customer service support to Investment Relationship Managers.
• Makes and tracks appointments; prepares investment proposals and routine correspondence.
• Organizes paper flow and maintains client files and supplies.
• Answers phones, opens and disseminates mail.
• Assist in business development and meet with prospects and existing clients.
• Coordinate marketing campaigns and business development seminars.
• Collaborate with internal departments on joint initiatives.

Skills

Client relationship management

Microsoft Office proficiency

Effective communication

Organizational skills

Detail orientation

Analytical skills

Multitasking under deadlines

Education

Bachelor's degree preferred

FINRA SIE

Series 6

Series 7

Series 63

Life Insurance License

Variable Life Insurance License

Health Insurance License

Disability Insurance License

Tools

Proprietary Software

Microsoft Office

Job description

• 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

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
• 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

Core Competencies

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.

Highest-signal resume keywords

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

ATS Optimization Keywords

Hard Skills

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

Soft Skills

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

Certifications & Qualifications

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

Industry Keywords

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

Tools & Technologies

• Proprietary Software
• Microsoft Office Applications