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Financial Advisor - Oconomowoc

Associated Bank · Oconomowoc, WI · Full time

Posted Jul 31, 2026 · We last checked this listing on Oct 4, 2026

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Likely interview questions for this role

Written from this job description, not a generic list. Each one notes what the interviewer is really checking.

About your past

Give me an example of a time you turned a bank referral into a long-term advisory client.

What they are checking: proven ability to work a referral network with banking partners rather than relying only on self-generated leads

Tell me about a time a client's goals and their risk tolerance were in conflict. What did you do?

What they are checking: judgment in balancing client wishes against fiduciary and suitability obligations

Describe a time you had to educate branch staff so they'd send you better qualified referrals.

What they are checking: experience training and motivating non-advisor colleagues, since the role explicitly requires supporting bank associates

Tell me about a client relationship you lost. What happened, and what would you do differently now?

What they are checking: self-awareness and retention instincts, given the posting's emphasis on client satisfaction and long-term loyalty

This role has a monthly draw against commission that ramps with volume. How do you think about managing your own finances and pipeline during a slow production month?

What they are checking: resilience and financial discipline under a commission-heavy, self-directed compensation structure

What would you do

Tell me about how you'd plan to transition your existing clients over to Associated Bank without losing assets along the way.

What they are checking: realistic understanding of transition risk, compliance around client solicitation, and practical logistics of moving a book

A teller refers a customer who's uneasy talking about money to you. How do you open that first conversation?

What they are checking: ability to build trust quickly and convert a cold internal referral into a real client relationship

How do you split your week between servicing existing clients, business development, and paperwork or compliance work?

What they are checking: realistic time management and whether they treat business development as a discipline, not an afterthought

How do you decide when a client's needs call for bringing in a trust or private banking partner instead of handling it yourself?

What they are checking: collaborative instinct and understanding of when to loop in specialists rather than protecting the relationship territorially

A client wants to make an investment you believe isn't suitable for their situation. Walk me through what you say and do next.

What they are checking: regulatory judgment and comfort pushing back on clients while documenting the conversation properly

About the work

Walk me through the book of business you'd be bringing with you. How is it structured, and what's the trailing twelve month production number?

What they are checking: whether the candidate actually meets the $250k+ production threshold and can speak concretely about their book rather than in generalities

How do you go about assessing a new client's risk tolerance and translating that into an actual investment recommendation?

What they are checking: whether their financial planning process is rigorous and suitability-driven, not just product-pushing

What licenses do you currently hold, and have you ever had a break in registration or any disclosure on your U4?

What they are checking: verifying required Series 7, 63/65/66, and insurance licensing along with regulatory record, since this is a FINRA-registered role with background and credit checks

What's your process for staying current on market trends and product changes, and can you give an example of when that research changed a recommendation you made?

What they are checking: whether ongoing product and market expertise is a real habit rather than a checkbox

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The full job description

As published by Associated Bank.

At Associated Bank we strive to create an inclusive culture where different perspectives are valued and recognized as strengths critical to our success. If you thrive in an environment where your growth and development are encouraged and supported, then Associated Bank may be the right place for you. Associated Bank requires you to directly represent yourself and your own experiences during the recruiting and hiring process. Associated Bank conducts a thorough background check on all new hires. Associated Bank is seeking a Financial Advisor to help clients achieve their financial goals through personalized investment, insurance, and financial planning solutions. In this role, you'll build and deepen client relationships, grow an established book of business, and collaborate with banking and wealth management partners to deliver a comprehensive client experience. This is an excellent opportunity for an experienced advisor looking to expand their impact and grow within a collaborative wealth management environment. • Develop and strengthen client relationships by delivering holistic financial planning and investment guidance. • Analyze clients’ financial goals, needs, and risk tolerance to recommend tailored investment and insurance solutions. • Grow advisory, financial planning, and insurance business through proactive business development and referral partnerships. • Partner with banking, trust, and private banking colleagues to deliver comprehensive wealth management solutions. • Maintain expertise in investment products, insurance strategies, market trends, and financial planning best practices. • Ensure all client transactions and documentation are completed accurately and in compliance with regulatory requirements. • Support and educate bank associates to strengthen referral opportunities and client engagement. • Deliver exceptional service that enhances client satisfaction, retention, and long-term loyalty. Education & Experience Required • Bachelor's degree in Business, Finance, or a related field. • 3+ years of investment and insurance sales experience. • Demonstrated success developing advisory and fee-based business. • Existing significant book of business with trailing annual production of approximately $250,000+. • Series 7 license. • Series 63, Series 65, or Series 66 license. • Life, Health, and Variable Insurance License. • Reliable transportation and ability to travel throughout the assigned market. Preferred • 5+ years of investment and insurance sales experience. • Existing significant book of business with trailing annual production of approximately $400,000+. • Advanced financial planning expertise and advisory business development experience. • Certified Financial Planner (CFP®) designation. • Chartered Financial Analyst (CFA®) designation. Note: This position requires a criminal background and credit check because it is a FINRA-registered role. Why You'll Love Working Here At Associated Bank, you'll join a collaborative team that values relationship building, professional growth, and client-centered advice. You'll have opportunities to expand your expertise, partner with experienced wealth management professionals, and make a meaningful difference in the financial lives of your clients. Apply today to make an impact. We welcome and encourage applications from all qualified parties, including but not limited to people returning to the workforce, people with disabilities, those without a college degree, and veterans or those with military experience. In addition to core traditional benefits, we take pride in offering benefits for every stage of life. • Retirement savings including both 401(k) and Pension plans. • Paid time off to volunteer in your community. • Opportunities to connect with others through our diversity-focused Colleague Resource Groups. • Competitive salaries with professional development and advancement opportunities. • Bonus benefits including well-being programs and incentives, parental leave, an employee stock purchase plan, military benefits and much more. • Personal banking, loan, investment and insurance benefits. Associated Bank serves more than 120 communities throughout Wisconsin, Illinois, Minnesota, and Missouri and we consider our colleagues critical to our continued success. See why our colleagues continually vote us a best place to work in the Midwest. Join our community on  Facebook ,  LinkedIn  and  X . Artificial Intelligence Statement To support our recruiting process, we may use artificial intelligence ("AI") or automated technologies to collect, organize, sort, and analyze information submitted by applicants. These tools may assist our Talent Acquisition professionals in identifying applicants who appear to satisfy the minimum qualifications for a position. AI is not used to make employment decisions on behalf of Associated Bank. No applicant will be selected or rejected solely based on the output of an AI tool. Hiring decisions are made by Associated Bank personnel who review applicant information and exercise independent judgment in accordance with applicable law and company policies. Compliance Statement 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. 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 Bank’s anonymous Ethics Hotline. Associated Bank provides additional assistance throughout the application, interview and hiring process. Please contact leavesandaccommodations@associatedbank.com if you need an accommodation at any time during the process. Associated Banc-Corp participates in the E-Verify Program. E-Verify Notice English or Spanish . Know Your Right to Work English or Spanish . Associated Bank is Pay Transparency compliant. The pay range represents anticipated base pay for this role. Actual pay may vary based on factors including, but not limited to, work location, skills, experience, education, and qualifications for the role. For certain positions, total compensation may also include incentive, commission, or bonus opportunities not reflected in the posted base pay range. This role offers a commissions-based structure that includes a monthly draw equaling $48,000.00 per year plus generous commissions that increase based on sales volume achieved.

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