Associated Bank

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Financial Advisor

at Associated Bank

Posted: 3/27/2019
Job Status: Full Time
Job Reference #: 1910326

Job Description

Associated Bank is an equal opportunity employer committed to creating a diverse workforce. We support a work environment where colleagues are respected and given the opportunity to perform to their fullest potential. We consider all qualified applicants without regard to race, religion, color, sex, national origin, age, sexual orientation, gender identity, disability or veteran status, among other factors. Applicants with a disability who need assistance applying for a position with Associated Bank are asked to email: colleaguecare@AssociatedBank.com or call: (800) 878-3282.

Job Summary
Under limited supervision, provide quality financial (primarily investment and insurance) products, services and advice to customers of Associated. Provide ongoing service to existing clients and build customer base via bank and non-bank resources. Ensure the sales process is based upon a holistic profiling/financial planning approach to ensure client satisfaction and attainment of maximum sales and referral opportunities.

May serve as member of a "Professional/High Net Worth" client sales team with an emphasis on investment and insurance products/services using a financial planning foundation for the relationship. Seek new relationships for Associated Bank and Associated Private Client and Institutional Services through pro-active business development activities. Provide comprehensive guidance and insight to Associated Investment Services sales team members, other colleagues as appropriate and clients. Provide ongoing service to existing clients while seeking opportunities to expand their financial relationship with us either directly or via team partner. Gain insight into the solutions delivered by other members of the sales team, and how they benefit the High Net Worth client.

As a valued colleague of Associated Bank you play a critical role in delivering an exceptional customer experience during every interaction. Expectations for this position require the ongoing focus on building solid and long lasting relationships by engaging all customers in a positive manner. Colleagues should provide customers a positive experience that includes undivided attention, straightforward and knowledgeable service and insure that the customer's best interests are our number one priority. Consistency around customer experience guidelines is key and expected from all of our colleagues. Our goal is to simplify the customer experience and deliver outstanding service to every customer, every time.

This position requires at minimum, a check of criminal background and credit records as a FINRA registered position.

Compliance Statement
Responsible for expanding and deepening customer relationships by identifying customers' needs comprehensively and matching their needs with selections and resources within the colleague's assigned business line and across all business lines of Associated Bank.

As a valued colleague of Associated Bank you play a critical role in delivering an exceptional customer experience during every interaction. Expectations for this position require the ongoing focus on building solid and long lasting relationships by engaging all customers in a positive manner. Colleagues should provide customers a positive experience that includes undivided attention, straightforward and knowledgeable service and ensure that the customer's best interests are our number one priority. Consistency around customer experience guidelines is key and expected from all of our colleagues. Our goal is to simplify the customer experience and deliver outstanding service to every customer, every time.

Operates in full compliance with internal policies and procedures as well as applicable regulations and laws, including but not limited to Bank Secrecy Act/Anti-Money Laundering requirements. Responsible to report any procedure or process that doesn't meet regulatory requirements including fraud, whether suspected or confirmed, to management. This reporting can be done directly to any member of management, including Human Resources or Corporate Security, or can be reported through Associated's anonymous Ethics Hotline.

Key Result Areas
  • Customer Service
    Regulation and Compliance
    Risk Management
    Team Support
    Sales
    Other Educating Colleagues and Clients
    Other Adherence to the Client Services Sales Model
    Other Business development/Sales/ Practice Management/ Relationship Management

    Job Accountabilities
  • Using a holistic financial planning approach, assist clients and prospects by analyzing their financial needs and objectives, make appropriate recommendations, effect sales of investment and insurance products as appropriate for and requested by the client. As the foundation for the client profiling process, use financial planning principles utilizing MoneyGuide Pro.
  • Operate in full compliance with internal policies and procedures as well as applicable regulations and laws.
  • Achieve objectives related to advisory business, financial planning, insurance and other key metrics as determined by the line of business.
  • Nurture strong relationships with sales team members to which you are assigned. Gain insight into the solutions they (Private Banking, Personal Trust), deliver. Excel in team selling to incorporate the full suite of services that Private Client Services offers clients. Serve as ambassador for the team members and the business lines they represent.
  • Ensure that transaction documentation is completed and submitted on a timely basis. Resolve as quickly as possible any problems with the trade processing activities.
  • Foster positive relationships with colleagues of the assigned banking offices and/or departments and within Private Client and Institutional Services. May train, mentor and coach non-licensed bank associates.
  • Using a variety of industry resources, maintain comprehensive knowledge base related to the investment market/offerings, insurance strategies and solutions, economic trends/capital markets and the financial needs of the client segment served. Maintain expertise pertaining to the financial needs of High Net Worth clients.
  • Maintain expertise in the products offered through Private Client Services, Associated Investment Services and ABRC along with the primary bank and trust products/services.


  • Qualifications

    Education
  • Bachelor's Degree Business, finance or related field of study, Required
  • Master's Degree Business Administration or Finance, Preferred

    Experience
    3-5 years Successful record of success in investment and insurance sales. Trailing production of $250,00-400,000 from an existing, significant book of business. Demonstrated advisory/fee based business development., Required
  • 5-7 years Successful record of success in investment and insurance sales. Trailing production of $400,000 from an existing, significant book of business. Demonstrated financial planning skill set and advisory business development., Preferred

    Skills
    Mathematical ,
    Microsoft Office ,
    Operate Office Equipment ,
    Verbal Communication ,
    Written Communication ,
    Other: Significant network in the local communities. ,
    Other: Proven expertise in the managed account arena. ,
    Other: Series 7, 65/66, comprehensive insurance licenses. ,
    Other: Strong grasp of risk management solutions. ,

    Licenses and Certifications
    Series 7-Stockbroker Exam , Required
    Other Series 63 / Series 66 or Series 65 , Required
    Other Valid Drivers License , Required
    CFP-Certified Financial Planner , Preferred
    CFA-Charted Financial Analysis , Preferred
    Life , Health and Variable Insurance License , Required

    General Physical Condition
    No unusual physical effort, strain, or discomfort