Investment Specialist jobs in Appleton, WI

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.

​Job Accountabilities

• Using a holistic financial planning approach, assist clients and prospects by analyzing their financial needs and objectives, make appropriate recommendations, effect sales of investment and insurance products as appropriate for and requested by the client. As the foundation for the client profiling process, use financial planning principles utilizing MoneyGuide Pro.
• Operate in full compliance with internal policies and procedures as well as applicable regulations and laws.
• Achieve objectives related to advisory business, financial planning, insurance and other key metrics as determined by the line of business.
• Nurture strong relationships with sales team members to which you are assigned. Gain insight into the solutions they (Private Banking, Personal Trust), deliver. Excel in team selling to incorporate the full suite of services that Private Client Services offers clients. Serve as ambassador for the team members and the business lines they represent.
• Ensure that transaction documentation is completed and submitted on a timely basis. Resolve as quickly as possible any problems with the trade processing activities.
• Foster positive relationships with colleagues of the assigned banking offices and/or departments and within Wealth Management. May train, mentor and coach non-licensed bank associates.
• Using a variety of industry resources, maintain comprehensive knowledge base related to the investment market/offerings, insurance strategies and solutions, economic trends/capital markets and the financial needs of the client segment served. Maintain expertise pertaining to the financial needs of High Net Worth clients.
• Maintain expertise in the products offered through Private Client Services and Associated Investment Services along with the primary bank and trust products/services.

Note: This position requires, a check of criminal background and credit records as a FINRA registered position.

Education: Bachelor's Degree Business or Finance Required

Experience:

• 3-5 years Investment and insurance sales. Trailing production of $250,00-400,000 from an existing, significant book of business. Demonstrated advisory/fee based business development. Required
• 5 years Investment and insurance sales. Trailing production of $400,000 from an existing, significant book of business. Demonstrated financial planning skill set and advisory business development. Preferred

Licenses and Certifications:

• Life , Health and Variable Insurance License Required
• Series 7-Stockbroker Exam Required
• Other Series 63 / Series 66 or Series 65 Required
• CFP-Certified Financial Planner Preferred
• CFA-Charted Financial Analyst Preferred

Must have access to reliable transportation and the ability to lawfully drive self, if applicable. Required

 

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 consider our colleagues critical to our continued success. See why our colleagues continually vote us a best place to work in the Midwest. Join our community on Facebook, LinkedIn and X. 

Compliance Statement

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.

Fully complies with all applicable enterprise policies and procedures. Acts in compliance with all applicable laws and regulations as outlined in training materials, including but not limited to Bank Secrecy Act. Responsible for reporting suspicious activity to Financial Intelligence. Responsible to report all customer complaints as prescribed and procedure violations to management or HR.

Responsible to report ethical concerns as needed to Associated Bank’s anonymous Ethics Hotline.

Associated Bank provides additional assistance throughout the application, interview and hiring process. Please contact leavesandaccommodations@associatedbank.com if you need an accommodation at any time during the process.

Associated Banc-Corp is an Affirmative Action and Equal Opportunity Employer. Associated Banc-Corp participates in the E-Verify Program. E-Verify Notice English or Spanish. Know Your Right to Work English or Spanish.

Associated Bank is Pay Transparency compliant.