Investment Sales Assistant

At Associated Bank we strive to create an inclusive culture where different perspectives are valued and recognized as strengths critical to our success. If you thrive in an environment where your growth and development are encouraged and supported, then Associated Bank may be the right place for you.

Associated Bank requires you to directly represent yourself and your own experiences during the recruiting and hiring process.

We invite you to view the opportunity below.

The Investment Sales Assistant will assist in the delivery of investment and insurance products and services by providing a full complement of administrative support, customer service and sales support and related resources to one or more licensed representatives and their customers.  May provide assistance to multiple advisors in a centralized location.

This person will also:

• Provide investment and sales support by establishing new accounts for clients by inputting information into the new account system and creating client files. Assist sales team with setting appointments and preparing client reviews. Support the sales team by preparing presentations in financial planning software, prospect research and updating client profiles. Limited participation in recording and managing sales activity. May provide assistance to multiple advisors in a centralized location.

• Provide superior client support and service including but not limited to problem solving, answering questions, and processing daily transactions of low to mid level complexity with appropriate guidance of Registered or Sr. Registered Sales Assistant(s) or supervisor with input and direction from Financial Consultant(s).

• Provide administrative support to sales team with books of business for low to mid level complexity. This may include proactive involvement in prospect and client correspondence. Maintain comprehensive, current and complete client files. Coordination and compilation of data crucial to managing the book of business. Ensure office signage is compliant and brochures are current. Assist sales team by setting appointments and preparing information for client reviews. Maintain client files by ensuring that relevant documentation is maintained.

• Ensure effective transaction processing by inputting the instructions, submitting documentation to operations and monitoring the required steps which follow. Perform financial planning data entry and enter CRM notes as directed. Review pending trade settlements to ensure timely payment and receipt of funds. Coordinate with Operations as needed regarding documentation, procedures, commission accounting, etc. May handle account maintenance, monitoring and tracking.

• May assist in onboarding of new colleagues and may participate in line of business projects.

• General knowledge of all AIS and Associated policies and procedures with emphasis on BSA and KYC/KYA/CIP. Able to identify basic aspects of BSA and KYC/KYA/CIP non-compliance and bring that to the attention of the supervisor. Under general guidance of supervisor works with team to ensure account administration and risk management of each client relationship is in compliance with established policies, procedures, regulatory guidelines and business strategies. Assist in gathering documentation for branch audits.

Education

• High School or equivalent combination of education and experience. Required

• Associate's Degree or equivalent combination of education and experience. Preferred

Experience

• Less than 2 years Financial services industry. Moderate knowledge of established practices in use in a brokerage environment. Required

• 2-4 years Investment and insurance services industry. Preferred

In addition to core traditional benefits, we take pride in offering benefits for every stage of life. 

• Retirement savings including both 401(k) and Pension plans. 

• Paid time off to volunteer in your community. 

• Opportunities to connect with others through our diversity-focused Colleague Resource Groups. 

• Competitive salaries with professional development and advancement opportunities. 

• Bonus benefits including well-being programs and incentives, parental leave, an employee stock purchase plan, military benefits and much more.  

• Personal banking, loan, investment and insurance benefits. 

Associated Bank serves more than 120 communities throughout Wisconsin, Illinois and Minnesota and we c