Wealth Management Client Associate - Laguna Niguel, CA

U.S. Bank•Laguna Niguel, CA

3d•$23 - $30

About The Position

The Wealth Management Client Associate provides sales, processing, operational, administrative, and customer service support to Financial Advisors of U.S. Bancorp Advisors. The role supports advisors by coordinating appointments, preparing investment proposals and reviews and routine correspondence, organizing paperwork to meet record-keeping requirements, maintaining client files and supplies, answering phones, and handling incoming and outgoing mail. At the direction of Financial Advisors, the associate also supports business development by meeting with existing clients or prospects, contacting clients to review their relationships, coordinating marketing campaigns and business development seminars, and discussing joint initiatives with internal departments.

Requirements

High school diploma or equivalent.
To be eligible for business incentives, hold FINRA SIE and Series 6 or 7 and 63 registrations, and life, variable life, health, and disability insurance licenses.
Comply with U.S. Bank policies and procedures, including its Code of Ethics and Business Conduct and related workplace conduct and safety policies.

Nice To Haves

Bachelor's degree.
Two to four years of investment industry experience.
Experience with brokerage industry policies, processes, and procedures; FINRA and SEC regulatory standards; and other applicable regulatory requirements.
Ability to contact and profile existing clients, leads, and prospects.
Prior sales and service experience relating to Brokerage and Investment Advisory business.
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 quickly adapt to proprietary software.

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 accordance with the firm's record-keeping requirements.
Maintain client files and supplies.
Answer phones and open and disseminate mail.
Meet with existing or prospective clients as directed by Financial Advisors.
Contact existing clients to review their current relationship.
Plan and coordinate marketing campaigns and business development seminars.
Meet with internal departments to discuss joint business initiatives.

Benefits

Healthcare coverage, including medical, dental, and vision.
Basic term and optional term life insurance.
Short-term and long-term disability coverage.
Pregnancy disability and parental leave.
401(k) and employer-funded retirement plan.
Paid vacation of 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, 401(k) contribution, and pension, subject to eligibility requirements.