Registered Investment Associate II (Anaheim)

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Salary Grade:

Salary Pay Range for This Position:

POSITION SUMMARY:

The position provides support for Financial Advisors/Wealth Advisors. Increases the time Financial Advisors/Wealth Advisors can spend on business development activities by providing administrative support. Responds to incoming phone calls and emails from all members. Devotes approximately 25% of time to assist the Director of Operations and Investment Services Supervisors when requested.

ESSENTIAL POSITION FUNCTIONS:

Performs a variety of functions including the follow up with the broker dealer back office on pending transactions, preparing member documents, checking on the status of ACATS, trustee to trustee transfers, issuance of annuity contracts and trade settlements. Ensures all documents are properly delivered to OSJ, Deposit Operations and then to the carriers.

Also keeps brokerage account files up to date.

Communicates with members and prospects over the telephone to set up appointments for the Financial Advisors/Wealth Advisors, conducts preliminary member profiles, sends out information as requested and contacts referrals. Also coordinates meetings with Credit Union branch personnel on behalf of the Financial Advisors/Wealth Advisors.

Helps ensure product marketing and disclosure materials are up to date. Research client accounts and provide information to help appropriate personnel resolve member problems and complaints.

Assists the operations management team when requested.

Assists and supports Financial Advisors / Wealth Advisors with servicing of Advisory accounts.

EDUCATION, EXPERIENCE, SKILLS AND ABILITIES:

High School Diploma or Equivalent Experience required.

Previous financial industry and customer service experience preferred.

College degree preferred.

Experience in a broker dealer or retail investment firm also preferred.

Requires FINRA Series 7, 63, 65 or 66 plus CA DOI Life & Disability.

Good written and verbal communication skills. Ability to understand and articulate the features and benefits of WFS' investment products and services.

COMPUTER SKILLS:

Proficient in Microsoft applications (Word, Excel, Outlook). Must be proficient in technology applications including the Credit Union's operating system and specialized software required for performance of position.

Experience with contact management systems, Outlook, and hypotheticals desirable.

MATHEMATICAL SKILLS:

Ability to add, subtract, multiply, and divide in all units of measure, using whole numbers, common fractions, and decimals. Ability to compute rates, ratios, and percent and to draw and interpret bar graphs.

PHYSICAL DEMANDS:

The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job. While performing the duties of this job, the employee is frequently required to stand; walk; sit; use hands to finger, handle or feel; reach with hands and arms, climb or balance, stoop kneel, crouch, crawl; talk or hear and taste or smell. The employee must occasionally lift and/or move up to 10 pounds. Vision abilities required by this job include close vision, distance vision, color vision, peripheral vision, depth perception and ability to adjust focus.

WORK ENVIRONMENT:

This position may qualify as Remote or Hybrid with a home base at one of Wescom's offices. The Remote or Hybrid status may be discontinued by Wescom in its sole discretion at any time and for any reason or no reason, with or without notice by Wescom or Employee.

The work environment characteristics described here are representative of those an employee encounters while performing functions of this job.

The noise level in the work environment is moderately quiet. It is a non-smoking environment.

The above job requirements are representative of minimum levels of knowledge, skills, and abilities. The marginal functions have not been included. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

This job description in no way implies that these are the only duties to be performed. An employee will be required to follow any other job-related instructions and duties as requested by the supervisor and/or management.

If you are applying for a Hybrid/Remote position, pleasenoteapplicants are required to reside within ourWescomservice areas which are defined as the following counties: Los Angeles, Orange, San Bernardino, Riverside, Ventura, Santa Barbara, San Diego, Imperial ,Fresno, Kern, Kings, Madera, Merced, Mariposa, Monterey, San Benito, San Joaquin, San Luis Obispo, Santa Cruz, Stanislaus and Tulare counties.