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AIS Guidance Center Financial Consultant

Company: Associated Bank - Corp
Location: Green Bay
Posted on: January 26, 2023

Job Description:

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. Applicants with a disability who need assistance applying for a position with Associated Bank are asked to email:
Job Summary The AIS Guidance Center is comprised of registered representatives specializing in inbound and outbound calling activity. An individual will primarily focus on either inbound or outbound calls, but will occasionally assist the other. Proactively contact clients of the AIS Guidance Center, introducing services and reviewing their portfolio for the purpose of establishing longer-term, successful relationships. Responsible for expanding and deepening customer relationships by conducting a needs analysis and uncovering additional investment opportunities by profiling for financial needs and delivering investment solutions directly or indirectly, via referral, to an AIS field representative. Provide comprehensive guidance and support to clients assigned to the AIS Guidance Center by delivering an exceptional customer experience during every interaction. Expectations for this position require the ongoing focus on building solid and long lasting relationships by engaging all customers in a positive manner. Emphasis is placed on providing clients with a positive experience that includes undivided attention, knowledgeable service and insuring the customer's best interests are our number one priority. Our goal is to simplify the customer experience and deliver outstanding service to every customer, every time. This position requires at minimum, a check of criminal background and credit records as a FINRA registered position.
Job Accountabilities

  • Proactively contact clients of the AIS Guidance Center, introducing services and reviewing their portfolio. Establish longer-term, successful relationships by providing comprehensive sale support for accounts assigned to the AIS Guidance Center as well as new clients. Conduct needs analysis and financial reviews to develop and maintain a comprehensive understanding of client goals and risk tolerance. Provide investment solutions directly or indirectly, via referral, to an AIS field representative.
  • Provide superior client support and service including but not limited to problem solving, providing updates and answering questions regarding account activity, market quotations, trade transactions and process transaction requests. Establishes, oversees and measures client service expectations.
  • Develop and nurture strong relationships with key business partners to facilitate cross selling opportunities, providing clients with investment solutions that fit their need, and to create referral opportunities for the AIS Guidance Center.
  • Monitor incoming referral opportunities received and contact clients regarding investment opportunities within pre-established time guidelines.
  • Contact newly assigned clients of the contact center and introduce them to the services provided by the Guidance Center.
  • Maintain extensive knowledge of all AIS and Associated policies and procedures with an emphasis on BSA and KYC/KYA/CIP. Ensure consistency with regards to how policies and procedures are applied and followed. Ensure that account administration and risk management of each client relationship is In compliance with established policies, procedures, regulatory guidelines and business strategy. Can identify deficiencies, recommend solutions and implement changes to correct and bring issues to the attention of the supervisor.
  • The AIS Guidance Center may be asked to contact and educate RPS plan participants on their options when separating from a plan sponsor.


    • Associate's Degree Or Technical Diploma in Business, Finance, or Accounting Required
    • Bachelor's Degree Finance, Business or Related Degree Preferred

      • 1-3 years Brokerage/Investment experience, or background in the financial industry. Required
      • 3-5 years Brokerage/Investment/Operations experience Preferred
        Licenses and Certifications

        • Series 7-Stockbroker Exam , Required
        • Other Series 63 and Series 65 Licenses or Series 66 License , Required
        • Life & Health Insurance License , Required

          Compliance Statement 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's anonymous Ethics Hotline.
          Associated Bank is committed to working diligently with any colleague who needs an accommodation perform the essential functions of the job. Please contact the Leaves & Accommodations office to request an accommodation.

Keywords: Associated Bank - Corp, Green Bay , AIS Guidance Center Financial Consultant, Other , Green Bay, Wisconsin

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