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BMO Financial Group Associate Financial Advisor Naperville IL OR Brookfield WI in Brookfield, Wisconsin


This role is accountable to invoke trust and build strong client relationships, determine individual investment needs and provide professional, customized advice to ensure client’s financial goals are met. This role is responsible for providing a superior client onboarding experience, actively reviewing client portfolios and preparing and presenting appropriate investment solutions by leveraging various tools provided by the bank. Being the first point of client contact, the BHFA Financial Advisor’s core mandate is to provide investment recommendations based of client suitability, time frame and goals. The BHFA Financial Advisor has the ultimate goal of building and solidifying customer loyalty while deepening client relationships.


Understanding financial markets and recognize when to provide clients advice

Investment product subject matter expert (15 product categories)

  • Mutual Funds

  • Annuities

  • Fixed Income

  • Marked Linked CDs

  • Unit Investment Trust

  • Retirement planning

  • Fee Based Account annual reviews


Responsible for the continued growth of the portfolio

  • Sales goals of $5MM

  • Outside Asset Gathering (i.e., prospecting from existing and net new clients)

  • Advice on Maturities

  • Uncovering uninvested opportunities

  • Asset Retention

  • Manage direct client relationships and maintaining a group of clients with total assets of $100MM


Adhering to internal and FINRA (Financial Industry Regulatory Authority) Audit requirements

The Advisor is to act as the gatekeeper and is responsible for various approvals in order to satisfy industry regulators

Financial Advice

  • Investment Reviews

  • Solution Positioning


  • Discipline order/confirmation

  • Determine need for the trade

  • Accuracy

Adhere to (DOL) Department of Labor conflict of interest rules (BIC)Best Interest Contract for every recommendation

Be current and adapting the constantly changing regulatory environment

Be familiar with NETX360 system changes on a quarterly basis

Video Expert (Advising through virtual face to face type technology)

Referral training for CCC (client contact center) employees and branch bankers

Accountabilities / Decision Making / Scope & Impact

  • Decision Making -- Provide investment recommendations based off client suitability, time frame, and goals

  • Understanding and ability to explain Cost Basis, Tax documents, IRA (Individual Retirement Account) RMD (Required Minimum Distribution) withdrawals and early withdrawal penalties

  • Attest to client accounts and all regulatory sign offs

  • Influence – Authority to impact Investment Advice in accordance with the BHFA offer and applicable securities regulations

  • This role has direct impact on the achievement of key business unit objectives

  • Up to 3000 client accounts per advisor

  • /- 75 million AUM (assets under management)


Knowledge and Skills

  • University Degree with 3-5 years of financial industry experience

  • Series 7 and 66 or (63 and 65) Required

  • U4 clear background check requirements

  • Licensed in all 53 states and territories

  • Continuing Education - FINRA and BMO administered

We’re here to help

At BMO Harris Bank we have a shared purpose; we put the customer at the center of everything we do

  • helping people is in our DNA. For 200 years we have thought about the future—the future of our

customers, our communities and our people. We help our customers and our communities by working

together, innovating and pushing boundaries to bring them our very best every day. Together we’re

changing the way people think about a bank.

As a member of the BMO Harris Bank team you are valued, respected and heard, and you have more

ways to grow and make an impact. We strive to help you make an impact from day one – for yourself

and our customers. We’ll support you with the tools and resources you need to reach new milestones,

as you help our customers reach theirs. From in-depth training and coaching, to manager support and

network-building opportunities, we’ll help you gain valuable experience, and broaden your skillset.

To find out more visit us at

BMO Harris Bank is committed to an inclusive, equitable and accessible workplace. By learning from

each other’s differences, we gain strength through our people and our perspectives. BMO Harris Bank

N.A. is an equal opportunity/affirmative action employer. All qualified applicants will receive

consideration for employment without regard to sex, gender identity, sexual orientation, race, color,

religion, national origin, disability, protected Veteran status, age, or any other characteristic protected by

law. Accommodations are available on request for candidates taking part in all aspects of the selection

process. To request accommodation, please contact your recruiter.

Job Field:

Financial Planning & Advisory

Job Schedule:


Primary Location:

United States-Wisconsin-Brookfield

Other Location(s):

United States-Illinois-Naperville