Wealth Management Associate - Santa Monica, CA

US Bank Santa Monica , CA 90405

Posted 2 weeks 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


See if you are a match!

See how well your resume matches up to this job - upload your resume now.

Find your dream job anywhere
with the LiveCareer app.
Download the
LiveCareer app and find
your dream job anywhere
lc_ad

Boost your job search productivity with our
free Chrome Extension!

lc_apply_tool GET EXTENSION

Similar Jobs

Want to see jobs matched to your resume? Upload One Now! Remove
Chase Wealth Management Financial Advisor Santa Monica CA (Arizona Ave And 4Th)

Jpmorgan Chase & Co.

Posted 2 weeks ago

VIEW JOBS 10/6/2018 12:00:00 AM 2019-01-04T00:00 Apply Now Chase Wealth Management - Financial Advisor - Santa Monica - CA (Arizona Ave and 4th) Req #: 180102121 Location: Santa Monica, CA,US Job Category: Wealth Management Job Description: As a Financial Advisor, you will acquire and deepen relationships with clients through comprehensive needs based marketing and promotion of Investment products within our branch environment. You will work with the Branch Team to identify client needs, analyze customer information, define investment goals, build plans and make recommendations for client to achieve their investment goals and objectives through individual investment strategies while meeting your asset and revenue targets. A successful Financial Advisor will be able to advise clients with complex investment relationships on asset allocation and portfolio construction for strategic and tactical decisions as well as market and implement investment solutions in accordance with the client's asset allocation. Financial Advisors are expected to Coach Personal Bankers (licensed) on recommendations and educate them on our investment products and services. This position requires you to conform to legal and regulatory requirements and guidelines associated with state insurance and securities regulators, FINRA, SEC, JP Morgan Securities LLC and JPMorgan Chase. You will also be required to demonstrate technical expertise, strong revenue results and asset growth in investments and fiduciary products, and strong interpersonal skills as well as provide exceptional client service. Qualifications * At least 2 years of customer-facing investment, insurance and financial profiling experience as well as sales experience (phone-based sales a plus) * Excellent communication and organizational skills * The following license groups are required: 7, 63 and 65 series; alternatively 7 & 66 series required in addition to meeting FINRA continuing education requirements and the appropriate state Group 1 - Life and Variable Annuity License required * Strong compliance record in prior position(s) * Ability to create and foster strong partnerships with the branch employees and business partners * Track record that demonstrates exceptional ability to grow revenue, assets and client base * High achiever with entrepreneurial spirit * Strong business and investments acumen * Investment, insurance and financial planning experience required * Excellent track record from a legal and consummation of sale perspective * Bachelors degree preferred Jpmorgan Chase & Co. Santa Monica CA

Wealth Management Associate - Santa Monica, CA

US Bank