Wealth Advisor

  • Associated Bank
  • Chicago, IL, USA
  • Jul 23, 2018
Full time Banking

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: colleaguecare@AssociatedBank.com or call: (800) 878-3282.

Job Summary
Under limited supervision, the Wealth Advisor is responsible for analyzing and promoting wealth, investment and financial planning products and services to prospective, new and existing customers. Responsible for profiling customer financial planning goals and objectives to identify opportunities for providing services and products offered through Private Client and Institutional Services. Specific emphasis will be on acquiring and deepening client relationships with the potential for long-term, profitable business including the establishment of fee based income, managed money solutions, brokerage, and insurance to establish a reoccurring revenue base. Provides ongoing analysis and financial planning advice to existing clients and builds a customer base via internal and external resources. Ensures the promotion of financial products and services is based upon a holistic profiling/financial planning approach to ensure client satisfaction and attainment of the client's financial goals and objectives, while also identifying referral opportunities. Responsible for serving in an advisory capacity to initiate new business opportunities through the development of external and internal centers of influence and to facilitate the sourcing of quality, long-term and profitable business from inside and outside the organization.

Compliance Statement
Responsible for expanding and deepening customer relationships by identifying customers’ needs comprehensively and matching their needs with selections and resources within the colleague’s assigned business line and across all business lines of Associated Bank.

As a valued colleague of Associated Bank you play a critical role in 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. Colleagues should provide customers a positive experience that includes undivided attention, straightforward and knowledgeable service and ensure that the customer’s best interests are our number one priority. Consistency around customer experience guidelines is key and expected from all of our colleagues. Our goal is to simplify the customer experience and deliver outstanding service to every customer, every time.

Operates in full compliance with internal policies and procedures as well as applicable regulations and laws, including but not limited to Bank Secrecy Act/Anti-Money Laundering requirements. Responsible to report any procedure or process that doesn’t meet regulatory requirements including fraud, whether suspected or confirmed, to management. This reporting can be done directly to any member of management, including Human Resources or Corporate Security, or can be reported through Associated’s anonymous Ethics Hotline.

Key Result Areas
  • Customer Retention
  • Results Driven
  • New business development
  • Collaboration
  • Cross-Sell
  • Deep Sell
  • Customer Service
  • Other Adheres to applicable regulations, policy and compliance related aspects of the business.

    Job Accountabilities
  • Deepen existing client relationship as well as initiate external and internal contacts for the purpose of developing and funding new business. Demonstrate the ability and willingness to be resourceful in seeking out new business opportunities through the promotion of financial planning products and services.
  • Initiate and maintain relationships within Private Client and Institutional Services (PCIS) as well as Consumer Banking, Commercial Banking, Community Markets and other business lines to perform joint calling activities and share prospect and customer opportunities. Demonstrate and apply a working knowledge of related bank services and solutions, with the ability to effectively profile and identify cross-selling opportunities and referral opportunities.
  • Using a holistic financial planning approach, assist clients and prospects by analyzing their financial needs and objectives, making appropriate recommendations, effectively promoting investment and insurance products as appropriate for or as requested by the client.
  • Analyze opportunities and serve in an advisory capacity to build a significant advisory business, including a recurring revenue stream.
  • Participate in community and business activities to enhance the image and position of Associated Bank and to develop new business for PCIS. Serve as an ambassador for Associated Bank and participate in outside business activities to promote awareness of the corporation as well as applicable products and services.
  • Operate in full compliance with internal policies and procedures as well as applicable regulations and laws. Maintain and exhibit appropriate knowledge level regarding financial planning, investments, retirement plan services, insurance, legislative and regulatory updates. Complete all required internal and regulatory training on an annual basis.
  • Identify needs and refer customers to business partners within and across lines of business who can best meet those needs.


  • Associate's Degree Business, finance or related field of study, Required
  • Bachelor's Degree or equivalent combination of education and experience Business Administration or Finance, Preferred

  • 2-4 years Investment and Insurance Expertise, Required
  • 4-7 years Financial Services Sales, Preferred

  • Mathematical ,
  • Microsoft Office ,
  • Operate Office Equipment ,
  • Verbal Communication ,
  • Written Communication ,
  • Other: Network in the local communities,

    Licenses and Certifications
  • Series 7-Stockbroker Exam by start date, Required
  • Other Series 63 and 63/66 or 65 by start date, Required
  • CFP-Certified Financial Planner by start date, Preferred
  • CWS-Certified Wealth Strategist by start date, Preferred
  • Must have access to reliable transportation and the ability to lawfully drive self, if applicable. by start date, Required

    General Physical Condition
  • No unusual physical effort, strain, or discomfort