Provides sales, processing, operational, administrative and customer service support to Financial Advisors (FA) of U.S. Bancorp Investment Sales. Supports business development process through responsive sales activities to meeting existing customer needs. Researches and responds to customer needs within regulatory limits. Excellent customer service skills and good attention to detail. Good clerical, organizational, prioritization, time management and follow-through skills. Takes initiative and is self-motivated. Professional, reliable, and organized.
• Performs support duties to assist FA such as: making and tracking appointments, preparing investment proposals/reviews/routine correspondence, organizing paper flow in adherence to the firm's record-keeping requirements, maintaining client files and supplies, answering phones, opening and disseminating mail.
• Researches internal and/or external customer needs and responds appropriately. May refer requests or problems to FA or Regional Management Team.
• Assists in business development at the direction of the FA such as: meeting with existing or new prospects, contacting existing client base to review current relationship, planning and coordinating marketing campaigns/business development seminars and meeting with internal departments to discuss joint business initiatives.
• Actively ensures compliance with the U.S. Bank Code of Ethics and all Anti-Money Laundering, Bank Secrecy Act, information security and suspicious activity reporting requirements, policies and procedures. Actively participates in any required corporate and business line training in these areas.
• Follows account opening procedures and understands and follows internal suspicious activity referral requirements and processes as required for this position. Actively works with customers to understand each customer's normal account activity, as appropriate for this position.
• Competency to learn operations, policies, procedures, regulations and compliance requirements. Strong analytical skills with an emphasis on detail. Ability to handle multiple assignments simultaneously and work with deadlines while maintaining accuracy. Excellent communication and organizational skills necessary for day to day relationship management with both internal and external clients and partners.
• Demonstrates capacity to quickly adapt to proprietary software. Ability to advocate for the customer, build relationships, collaborate, embrace diversity and inclusion, engage and develop, establish trust, and innovate. Operates with integrity and a strong ethical focus.
Performs other assignments as requested.
• High school diploma or equivalent
• Five to eight years of investment industry experience
• At least one year of U.S. Bancorp Investments experience
Series 7, Series 63 and 65/or 66 registrations and life, variable life, health and disability insurance licenses
• Excellent customer service skills
• Ability to manage multiple tasks/projects and deadlines simultaneously
• Proficient computer skills, especially Microsoft Office applications
• Excellent verbal and written communication skills
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