Associated Bank

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Investment Consultant

at Associated Bank

Posted: 11/2/2018
Job Status: Full Time
Job Reference #: 1811542
Keywords: investment

Job Description

Equal Opportunity Employer
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

The AIS Guidance Center is comprised of registered representatives specializing in inbound and outbound calling activity.  An individual will primarily focus on either inbound or outbound calls, but will occasionally assist the other. 

 

Under limited supervision, proactively contact clients of the AIS Guidance Center, introducing services and reviewing their portfolio for the purpose of establishing longer-term, successful relationships.  Responsible for expanding and deepening customer relationships by conducting a needs analysis and uncovering additional investment opportunities by profiling for financial needs and delivering investment solutions directly or indirectly, via referral, to an AIS field representative.

   

Provide comprehensive guidance and support to clients assigned to the AIS Guidance Center by 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.  Emphasis is placed on providing clients with a positive experience that includes undivided attention, knowledgeable service and insuring the customer's best interests are our number one priority.  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 Retention
  • Communication
  • Problem Solving

 

JOB ACCOUNTABILITIES

  • Proactively contact clients of the AIS Guidance Center, introducing services and reviewing their portfolio.   Establish longer-term, successful relationships by providing comprehensive sale support for accounts assigned to the AIS Guidance Center as well as new clients.  Conduct needs analysis and financial reviews to develop and maintain a comprehensive understanding of client goals and risk tolerance.  Provide investment solutions directly or indirectly, via referral, to an AIS field representative.
  • Provide superior client support and service including but not limited to problem solving, providing updates and answering questions regarding account activity, market quotations, trade transactions and process transaction requests. Establishes, oversees and measures client service expectations.
  • Develop and nurture strong relationships with key business partners to facilitate cross selling opportunities, providing clients with investment solutions that fit their need, and to create referral opportunities for the AIS Guidance Center.
  • Monitor incoming referral opportunities received and contact clients regarding investment opportunities within pre-established time guidelines.
  • Contact newly assigned clients of the contact center and introduce them to the services provided by the Guidance Center.
  • Maintain extensive knowledge of all AIS and Associated policies and procedures with an emphasis on BSA and KYC/KYA/CIP. Ensure consistency with regards to how policies and procedures are applied and followed. Ensure that account administration and risk management of each client relationship is In compliance with established policies, procedures, regulatory guidelines and business strategy. Can identify deficiencies, recommend solutions and implement changes to correct and bring issues to the attention of the supervisor.
  • The AIS Guidance Center may be asked to contact and educate RPS plan participants on their options when separating from a plan sponsor.

GENERAL PHYSICAL CONDITION

Moderate physical activity; routine handling of objects of 21-50 pounds or continuous standing, walking, keyboard, or CRT work (at least 80% of time) OR periods of moderate discomfort due to noise and/or other adverse conditions.



Qualifications

EDUCATION
Required Education: Associate's Degree Or Technical Diploma in Business, Finance, or Accounting

Preferred Education: Bachelor's Degree

 

EXPERIENCE
Required Experience: 1-3 years Brokerage/Investment experience, or background in the financial industry.

Preferred Experience:  3-5 years Brokerage/Investment/Operations experience

 

LICENSES & CERTIFICATIONS

Series 7-Stockbroker Exam Required
Other Series 63 and Series 65 Licenses or Series 66 License Required

 

SKILLS

  • Verbal Communication
  • Written Communication
  • Mathematical
  • Other: Attention to detail
  • Operate Office Equipment
  • Microsoft Office


Job Requirements

  • Adherence to Company policy and procedures is required.
  • Perform duties in accordance with the Vision & Values of Associated Banc-Corp.
  • Regular attendance is required.
  • Basic math and reading skills, and attention to detail.
  • Use of basic office equipment (e.g., photocopier, voice mail, "fax" machine, calculator, multiple line telephones, typewriter, computers etc.).
  • Represent the organization in a professional and positive manner.
  • Maintain credit exception approval percentages within corporate approved guidelines