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Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in investment industry operations, regulatory compliance, and client relationship management. Proficient in preparing investment proposals and coordinating marketing initiatives while maintaining strong organizational and communication skills.
Highest-signal resume keywords
FINRA SIE RegistrationSeries 6 Or 7 RegistrationSeries 63 RegistrationInvestment Industry ExperienceMicrosoft Office Proficiency
About the role
Key responsibilities & impact- Provide sales, processing, operational, administrative and customer service support to Investment Relationship Managers of U.S. Bancorp Investment Sales
- Make and track appointments
- Prepare investment proposals, reviews and routine correspondence
- Organize paper flow according to firm record-keeping requirements
- Maintain client files and supplies
- Answer phones and open and disseminate mail
- Meet with existing or new prospects
- Contact existing clients to review current relationships
- Plan and coordinate marketing campaigns and business development seminars
- Meet with internal departments to discuss joint business initiatives
Requirements
What you’ll need- High school diploma or equivalent (Bachelor's degree preferred)
- Two to four years of investment industry experience preferred
- To be eligible for business incentives, must have FINRA SIE, Series 6 or 7, 63 registrations and life, variable life, health and disability insurance licenses
- SIE at a minimum preferred
- Experience with brokerage industry policies, processes and procedures, FINRA and SEC regulatory standards, and applicable regulatory bodies
- Ability to contact and profile existing clients, leads, and prospects
- Prior sales and service experience relating to Brokerage and Investment Advisory business preferred
- Understanding of operations, policies, procedures, regulations and compliance requirements
- Strong analytical skills with emphasis on detail
- Ability to handle multiple assignments simultaneously and work with deadlines while maintaining accuracy
- Effective communication and organizational skills
- Proficient with Microsoft Office applications and ability to quickly adapt to proprietary software
- Must comply with U.S. Bank policies and procedures, including the Code of Ethics and Business Conduct and workplace conduct and safety policies
Benefits
Comp & perks- Healthcare (medical, dental, vision)
- Basic term and optional term life insurance
- Short-term and long-term disability
- Pregnancy disability and parental leave
- 401(k) and employer-funded retirement plan
- Paid vacation (from two to five weeks depending on salary grade and tenure)
- Up to 11 paid holiday opportunities
- Adoption assistance
- Sick and Safe Leave accruals of one hour for every 30 worked, up to 80 hours per calendar year unless otherwise provided by law
- Incentive and recognition programs
- Equity stock purchase
- 401(k) contribution and pension
ATS Keywords
✓ Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Investment Proposal PreparationClient Relationship ManagementRegulatory ComplianceSales SupportOperational Support
Soft Skills
Effective CommunicationOrganizational SkillsAnalytical SkillsDetail OrientationAbility To Handle Multiple Assignments
Tools & Technologies
Microsoft Office ApplicationsProprietary Software
Certifications & Qualifications
FINRA SIESeries 6Series 7Series 63Life Insurance LicenseVariable Life Insurance LicenseHealth Insurance LicenseDisability Insurance License
Industry Keywords
Brokerage IndustryInvestment AdvisoryFINRASECRegulatory Standards