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Regional Sales Manager - Associated Investment Services - Milwaukee, WI #7216536

Company: Associated Bank

Date: 01/15/2020

Category: Telecommunications Services

City: Milwaukee, WI

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: or call: (800) 878-3282.

Job Summary

Under limited supervision, manage the investments and insurance licensed sales team within the assigned region. Provide comprehensive sales management for the purpose of achieving the sales and profitability targets. Assist the sales associates to fully understand the product features and benefits, and coach for sales success. Coordinate supervisory principal activities such as branch office and registered representative examinations and continuing education programs for the investment/securities related activities. Build strong partnerships with Consumer & Commercial Banking management and other Private Client & Institutional Services business lines within the region for the purpose of achieving collective sales success.

This position requires at minimum, a check of criminal background and credit records as a FINRA registered position.

Compliance Statement

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

  1. Communication

  2. Supervision

  3. Sales

  4. Budget Attainment

  5. Other Knowledge of investment and securities regulations and rules

  6. Other Effective working relationships with Bank Partners including Retail, Residential Lending, Private Client and Institutional Services, and Business Banking.

  7. Other Responsible for supervision of Financial Advisors and associated colleagues as assigned Principal (S24) for region. Responsible for understanding industry regulations and laws, as well as all company policy, procedure as defined in the SPM and Operations manuals.

  8. Leadership

Job Accountabilities

  1. Provide coaching, training, mentoring and other sales management practices for the registered representatives. The emphasis will be on “Consultative Sales Skills” techniques so that the sales team can identify comprehensive financial needs and deliver solutions directly or via business line partners.

  2. Manage the sales team to success as indicated in the revenue and profitability results relative to goal. Typical revenue target will be $4-8 million.

  3. Partner with Retail Banking for the purpose of establishing sales goals, reporting ongoing results, sharing successes and resolving obstacles. Typical frequency for formal communications is at least weekly. Participation in Retail Banking management discussions is strongly encouraged to ensure sharing of mutually-beneficial information. Commit to having the sales team fully knowledgeable of the major bank initiatives as well as key product focuses so we can ensure our clients are delivered the appropriate banking solutions.

  4. Maintain a commitment of fostering the “Trusted Advisor” role for each sales associate through the use of multiple financial solutions and training. Promote the Certified Financial Planning™ designation or similar educational initiative given the enormous benefits that the sales associate and clients will reap. Promote the use of MoneyGuide Pro software to assist in creating financial plans for customers as appropriate. Regularly involved other business line partners in sales discussions to ensure that we are equipped to identify other financial needs and have them addressed by those partners.

  5. Provide Management and Supervision of the Financial Advisors and Associated Colleagues as principal (S24) for assigned region. Maintain comprehensive awareness of prevailing rules and regulations pertinent to the securities and insurance business. Participate in the monthly Compliance Committee meetings to ensure that the Series 24 Principal designation is fully leveraged to benefit the organization and our clients. Serve as a resource for the sales team in preparing them for the periodic branch office examinations. The goal is to achieve “Acceptable” ratings in all categories of the exam.

  6. Ensure proper staffing of registered personnel within the region through regular communication with the Retail Director and by monitoring staffing results relative to industry metrics. Maintain active pipeline of potential sales associates by affiliating with local/regional trade groups such as the Financial Planning Association and community organizations. The goal is to staff the region as aggressively as possible without undermining the team, and to do so with the strongest possible financial professionals.

  7. Ensure Supervisory activities are completed on a consistent basis as principal (S24) for region. Monitor compliance with internal polices and procedures related to the selling of investments and securities. Regularly observe the sales associates in their communications with colleagues and clients. Coordinate the review of their written communications to clients. Provide timely follow-up to Trade Inquiries from the Compliance Department related to the sales team. The objective is to have products and services provided to clients that align with their financial goals and risk profile.

  8. Regularly assess level of product knowledge for sales associates; ensure proper training resources are provided. An important outcome will be the maintenance of a manageable product line capable of meeting the needs of most clients/prospects and one in which the sales associate has complete knowledge and confidence. This will help ensure that the client receives suitable recommendations following the financial profile.

  9. Foster a personal commitment to professional growth and development through formal training programs and, as appropriate, professional designations.

  10. Provide ongoing guidance to bank management with regard to the Non-Insured Products Policy with an emphasis on signage, disclosures, confidentiality and sales practices. In so doing, this will help them to understand their role with regard to this policy and be in a position to reinforce our initiatives related to appropriately promoting investment and insurance products within a bank setting.

  11. May direct the activities and development of support staff to ensure customer service standards are met in partnership with the AIS Field Support Supervisor.


  1. Bachelor's Degree or equivalent combination of education and experience , Required

  2. Master's Degree Business, Preferred


  1. 10-12 years Investment and insurance sales environment with three years of sales management responsibilities., Required

  2. 12-15 years Investment and insurance sales environment with at least five years in a sales management role., Preferred


  1. Analytical ,

  2. Mathematical ,

  3. Operate Office Equipment ,

  4. Microsoft Office ,

  5. Written Communication ,

  6. Verbal Communication ,

  7. Other: Ability to maintain a disciplined work environment, balancing significant travel and demands related to daily work flow. ,

Licenses and Certifications

  1. CFP-Certified Financial Planner , Preferred

  2. Life & Health Insurance License , Required

  3. Series 7-Stockbroker Exam , Required

  4. Other Series 24 , Required

  5. Other Series 63/65 or Series 66 , Required

  6. Must have access to reliable transportation and the ability to lawfully drive self, if applicable. by start date, Required

General Physical Condition

  1. Light physical effort; routine handling of heavy objects up to 20 pounds or prolonged standing, keyboard, or CRT work (at least 50% of time)

Job: *Trust

Title: Regional Sales Manager - Associated Investment Services

Location: Wisconsin-Milwaukee

Requisition ID: 2010060

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