Wealth Management Client Associate - Laguna Niguel, CA

U.S. Bank•Laguna Niguel, CA

About The Position

The Wealth Management Client Associate provides sales, processing, operational, administrative, and customer service support to U.S. Bancorp Advisors Financial Advisors. The role supports advisors with appointment management, investment proposals and reviews, routine correspondence, record-keeping, client files, supplies, phone coverage, and mail handling. It also supports business development at the direction of Financial Advisors, including meeting with prospects and existing clients, reviewing client relationships, coordinating marketing campaigns and seminars, and discussing joint business initiatives with internal departments.

Requirements

High school diploma or equivalent.
To be eligible for business incentives, must have FINRA SIE, Series 6 or 7, and 63 registrations, plus life, variable life, health, and disability insurance licenses.
Experience with brokerage industry policies, processes, and procedures; FINRA and SEC standards; and applicable regulatory requirements.
Ability to contact and profile existing clients, leads, and prospects.
Understanding of operations, policies, procedures, regulations, and compliance requirements.
Strong analytical skills with attention to detail.
Ability to handle multiple assignments simultaneously and meet deadlines while maintaining accuracy.
Effective communication and organizational skills for day-to-day relationship management with internal and external clients and partners.
Proficiency with Microsoft Office applications and ability to adapt quickly to proprietary software.

Nice To Haves

Bachelor's degree preferred.
Two to four years of investment industry experience preferred.
Prior sales and service experience relating to Brokerage and Investment Advisory business preferred.

Responsibilities

Provide sales, processing, operational, administrative, and customer service support to Financial Advisors.
Make and track appointments.
Prepare investment proposals, reviews, and routine correspondence.
Organize paper flow in adherence to firm record-keeping requirements.
Maintain client files and supplies.
Answer phones and open and disseminate mail.
Assist with business development as directed by Financial Advisors.
Meet with existing clients 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.

Benefits

Healthcare, including medical, dental, and vision coverage.
Basic term and optional term life insurance.
Short-term and long-term disability insurance.
Pregnancy disability and parental leave.
401(k) and employer-funded retirement plan.
Paid vacation, from two to five weeks depending on salary grade and tenure.
Up to 11 paid holiday opportunities.
Adoption assistance.
Sick and Safe Leave accruals of one hour for every 30 hours worked, up to 80 hours per calendar year unless otherwise provided by law.
Incentive and recognition programs.
Equity stock purchase.
Pension.