Wealth Management Associate - Santa Monica, CA

US Bank Santa Monica , CA 90405

Posted 1 week ago

Provides sales, processing, operational, administrative, and customer service support to the U.S. Bank Wealth Management Banker/U.S. Bancorp Investments Wealth Management Advisor team with responsibilities for meeting the needs of the client in Wealth Management. Supports business development processes with clients and prospects and researches and responds to customer needs to help meet regulatory requirements.

This position requires National Mortgage Licensing System (NMLS) registration under the terms of the S.A.F.E. Act of 2008 and Regulation Z. You will be subject to the required registration process, which includes a criminal background and credit check. Failure to meet or maintain any of the NMLS registration requirements, including maintaining a satisfactory criminal and credit record, may result in a rescission of your offer or termination of employment.

Basic Qualifications

  • High school diploma or equivalent (Bachelor's degree preferred)
  • Two to four years of banking and investment industry experience

Preferred Skills/Experience

  • Series 6 or 7, 63, and life, variable life, health and disability licenses

  • Experience with the policies, processes and procedures of the brokerage and

banking industries, FINRA, SEC, OCC and applicable banking regulations

ensuring regulatory standards are met for all applicable regulatory bodies

  • Ability to contact and profile existing clients, leads, and prospects

  • Prior sales and service experience relating to Banking, Brokerage and

Investment Advisory business is preferred

  • Proven understanding of 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

  • Proficient with Microsoft Office applications and demonstrates capacity to

quickly adapt to proprietary software


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Wealth Management Associate - Santa Monica, CA

US Bank