Investment Services Associate

REQUIREMENTS:

This position requires a high school diploma or equivalent and a successful track record in sales and service and a proven ability to build relationships with people. The ideal candidate is seeking a career in wealth management and be willing to successfully obtain securities and state insurance licensing as required.

Must demonstrate a positive attitude, professional image, and be self-motivated and have the ability to manage multiple projects and tasks simultaneously with exceptional interpersonal communications skills.

ESSENTIAL FUNCTIONS:

• Provide administrative and operational support to the Investment Services team by communicating and scheduling client meetings, communicating with clients in-person and electronically, directing specific questions to appropriate channels, facilitating and resolving client service requests.
• Assist with information and documentation requirements for new accounts, transfers, account maintenance for clients as directed. Create daily, monthly, and quarterly reports as required by management.
• Maintain an FINRA Compliant filing system with all records that are generated when stocks, bonds, and other types of investments are traded.
• Provide proactive sales support using referrals to contact prospective customers for scheduling appointments for the Investment Advisor(s) and maintain records of client contacts.
• Assist with program marketing and event planning for workshops and seminars. Educate clients on account services, capabilities, and new technology.
• Represents the Credit Union with honesty, integrity and trust at all times.
• Adheres to established internal policies and procedures for compliance.
• Completes required compliance training in a timely manner and complies with all regulations within scope of the position.
• Adheres to the requirements of the Bank Secrecy Act, OFAC, USA PATRIOT Act and anti-money laundering regulations.

BASE EXPECTATIONS:

• Be willing to perform any duties (beyond Essential Functions above) as assigned.
• Confidentiality is of the utmost importance. The Investment Services Associate is representing the Credit Union and empathy and tact are to be used at all times.
• Demonstrate a superior level of service, be a positive role model for staff and maintain a high level of commitment to the organization.
• Communicate effectively with members, coworkers, management, and vendors and promote an atmosphere of teamwork throughout the credit union.
• Recognize and listen to member/coworker requests and/or concerns and identify their needs to help ensure successful resolutions.
• Is exceptional at problem solving issues as they arise and demonstrates the ability to perform analytical thinking and application of concepts.
• Demonstrates exceptional judgment with knowing when to trouble shoot concerns and/or bring to the attention of management.
• Possess a detailed working knowledge of Microsoft Word, Excel, and PowerPoint software applications that is adequate to perform the duties assigned.

WORKING CONDITIONS:

• Occasional lifting, carrying, pushing, and pulling of items weighing up to 60 lbs.
• Potential exposure to the threat of violence at any time.
• Occasional business travel may be required.
• Sitting or standing for extended periods of time may be required.
• Repetitive motions and extensive keyboarding may be required.

**Equal opportunity employer, including protected Veterans and individuals with disabilities.