Lead Financial Planner

Milwaukee, Wisconsin
Negotiable based upon education and experience
Jun 14, 2021
Jul 14, 2021
Employment Type
Full Time
Experience Level
5 to 9 years
CFP® Certification

Part of the Business Development Team that supports our client advisers and works with the Manager of Financial Planning Solutions to integrate goal-based financial planning into our sales and service delivery. The focus is to increase the close rate of new complex prospects along with deepening relationships with existing clients. Expected to provide enterprise wide guidance to our market based colleagues. Expected to be the subject matter expert who is able to identify and assist our clients resolve complex planning issues. Expected to work with and provide recommendations to high net worth individuals, including company owners, presidents, CEO's, controllers, human resources professionals. Expected to recognize and apply complex planning concepts. These concepts include insurance solutions, wealth transfer planning, gift tax planning, business continuation strategies, succession planning, and executive compensation. Spend a significant portion of time supporting and driving new business activities across all business lines of Associated Bank. Expected to build and maintain a large network of contacts in order to facilitate new business production. Success will be based on the overall achievement of market based sales results related to the capture of financial planning assets.

Job Accountabilities

  • Increase the close rate of new complex prospects for financial planning along with deepening relationships with existing clients. Initiate external and internal contacts for the development and funding of new business. Maintain relationships within Wealth Management (WM) 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 clients for the identification of cross-selling opportunities and referrals.
  • Provide support to the market based planners that assist WM colleagues in identifying opportunities to leverage the goal based financial planning. The goal is to increase deep and cross sell opportunities using enterprise wide products and services that assist our clients in achieving their goal based financial planning objectives. Develop and maintain a list of complex goal based planning issues and provide recommended concepts and solutions to resolve them. Items would include executive compensation, life insurance, disability income, business succession planning, stock option strategies and long-term care coverage.
  • Initiate and maintain relationships within Wealth Management (WM) and with 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 to identify cross-selling opportunities and refer customers.
  • Partner with WM colleagues to assist in identifying goal based planning opportunities within the relationship manager's book of business or the markets sales funnel. Assist in searching out the best product for client needs, structure recommendations and client presentation. Help prepare reports and product illustrations for client presentations. Present product solutions, when appropriate, to clients and prospects that will assist them in achieving their goal based planning objectives.
  • Responsible for developing and presenting WM group presentation materials related to financial planning/wellness and other wealth management topics, with the intention to drive wealth management business opportunities across the footprint. These group presentations include, but are not limited to executive committees, private banking groups, RPS clients, physician groups, law firms, etc.
  • Keep current with required follow-up activities on prospects and clients. Use OnContact to track follow-up requirements and use other tools like e-lines and The Update to maintain contact with customers and prospects. Complete required reports in a timely manner.
  • Serve as a subject matter expert with regards to goal based financial planning. Maintain awareness of latest legislative rules and regulations. Expected to coordinate with clients and prospects through other advisors such as attorneys and accountants to link products selected into various legal documents (i.e., ILITs) and fully consider tax implications of strategies.
  • Attend on a continuing basis, sales training seminars and product knowledge workshops. Stay current and update individual knowledge of insurance, finance and human resources by reading industry periodicals. Maintain a solid understanding of all WM products and services and use that knowledge to assist colleagues to understand opportunities to assist clients and prospects to achieve their goals.


  • Bachelor's Degree or equivalent combination of education and experience Business, Finance, etc. Required


  • 4-7 years Financial planning experience. Strong understanding of advanced financial planning concepts. Experience with financial planning software. Broad knowledge of investment, insurance products. Experience in consultative sales. Strong awareness of tax planning issues. Required

Licenses and Certifications

  • CFP-Certified Financial Planner by start date, Required
  • or ,
  • CWS-Certified Wealth Strategist by start date, Required
  • Life , Accident and Health Insurance License within 1 year, Preferred
  • Series 7-Stockbroker Exam by start date, Preferred
  • CPA - Certified Public Accountant by start date, Preferred

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.

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: careers@associatedbank.com