WM Affluent Associate

Jobtailor; Fargo (ND); On-site; USD 50,000 - 65,000; Full time

Job summary

Jobtailor in Fargo, ND is seeking an Investment Relationship Support to assist Investment Relationship Managers with sales, proposals, and client servicing, ensuring accuracy and regulatory compliance.

You will handle appointments, organize paperwork, support business development, and maintain client files while coordinating with internal teams.

Qualifications

• High school diploma or equivalent; Bachelor's degree preferred.
• 2–4 years of investment industry experience preferred.
• FINRA SIE, Series 6 or 7, 63 licenses and life/variable health/disability licenses required.
• Familiarity with brokerage industry policies, FINRA/SEC standards and regulatory bodies.
• Ability to contact and profile clients, leads, and prospects.
• Prior sales and service experience in Brokerage/Investment Advisory preferred.
• Strong understanding of operations, policies, regulations and compliance.
• Strong analytical skills with attention to detail.
• Ability to handle multiple assignments with deadlines while maintaining accuracy.
• Effective communication and organizational skills for day-to-day relationship management.
• Proficient with Microsoft Office and ability to adapt to proprietary software.

Responsibilities

• Provides sales, processing, operational, administrative and customer service support to Investment Relationship Managers of U.S. Bancorp Investment Sales.
• Performs administrative duties: scheduling, preparing investment proposals, routine correspondence, organizing paper flow, maintaining client files and supplies, answering phones, and mail handling.
• Assists in business development by meeting with prospects, contacting existing clients, planning marketing campaigns and coordinating with internal departments.

Skills

FINRA SIE Registration

Series 6 Registration

Series 7 Registration

Series 63 Registration

Investment Industry Experience

Investment Proposal Preparation

Client File Management

Regulatory Compliance

Business Development Support

Appointment Tracking

Microsoft Office Proficiency

Strong Analytical Skills

Detail Orientation

Education

Bachelor's degree

High School diploma or equivalent

Tools

Proprietary Software

Microsoft Office Applications

Job description

• Provides sales, processing, operational, administrative and customer service support to Investment Relationship Managers of U.S. Bancorp Investment Sales.
• Performs administrative support duties to assist Investment Relationship Managers 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 Investment Relationship Managers 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
• 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 expertise in investment industry operations, regulatory compliance, and client relationship management, with strong analytical and organizational skills to support business development initiatives effectively.

Highest-signal resume keywords

• FINRA SIE Registration
• Series 6 or 7 Registration
• Series 63 Registration
• Investment Industry Experience
• Microsoft Office Proficiency

ATS Optimization Keywords

Hard Skills

• Investment Proposal Preparation
• Client File Management
• Regulatory Compliance
• Business Development Support
• Appointment Tracking

Soft Skills

• Effective Communication
• Organizational Skills
• Analytical Skills
• Detail Orientation
• Ability to Handle Multiple Assignments

Certifications & Qualifications

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

Industry Keywords

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

Tools & Technologies

• Proprietary Software
• Microsoft Office Applications