Assist members/clients in a courteous and professional manner. Schedule appointments with CU members and Investment Services Provider, promote and market the Investment Services program to Credit Union employees and members, perform administrative functions in support of the Investment Services program in addition to ensuring on- going and proactive support to representatives individually and the Director of Investment Services. Support ongoing strategic growth initiatives to enhance UW Credit Union’s capabilities to develop a full offering of financial planning services and products.
The Investment Sales Assistant must effectively carry out the essential duties of this position in a manner that consistently demonstrates the core values of the Organization in a positive manner.
1) Maintains Operation Standards and Service Support- 65%
a. Provides personalized, professional service to all members and representatives in an exceptional manner, seeking out opportunities to exceed member expectations.
b. Is responsible for and performs daily administrative duties including managing the internal referral tracking system, filing and document processing, commission and issue tracking, service related requests from members and lobby management.
c. Executes trading orders for members at the direction of the Financial Consultant.
d. Performs service related functions on behalf of the member and at the direction of the Financial Consultant.
e. Assists in research and analysis of accounts and products.
f. Reviews member account activities on a daily basis to ensure overall accuracy, proper settlement of transactions and account reconciliation.
g. Opens new accounts.
h. Serves as a key resource in efforts to prevent potential loss of business resulting from service or transactional efforts with general securities products. Coordinates, and might sometimes lead, involvement of appropriate internal partners to resolve issues and communicate updates to impacted internal and external parties.
i. Maintains departmental reporting functions to credit union management.
j. Designs, develops and implements identified projects.
k. Understands and applies policies, procedures and regulations of the industry. Ensures all trading activity complies with SEC/FINRA and internal compliance regulations and guidelines.
l. Answers specific account level and market related member questions.
m. Executes service requests, works directly with sponsor companies to complete tasks on behalf of the member.
n. Problem solves and seeks solutions related to transactions and security trades.
o. Assists in member service related business driven process improvement initiatives or related projects to provide subject matter expertise, as well as serve as a resource to less experienced team members as necessary.
p. Participates in ongoing staff training and member education opportunities.
q. Responsible for marketing support and membership events.
r. Solicits feedback from external and internal departments to coordinate business efficiencies.
2) Sales Support- 25%
a. Works with the Financial Consultant to support sales functions.
b. Independently meets with members to review their account status, answer questions and collect information.
c. Maintains a high level of industry knowledge and adheres to all required continuing education standards.
d. Profiles members for needs, cross-sell opportunities or insurance products to existing and new members.
e. Engages in proactive selling activities with the oversight of the Financial Consultant.
f. Creates member presentations and serves as a resource for member educational events.
3) Organizational Contribution- 10%
a. Demonstrates professionalism in dress, tone, flexibility and communication.
b. Consistently acts as a part of a cohesive team.
c. Accept ownership for errors and follows up appropriately.
d. Maintains open and respectful communication with other departments.
e. Handles conflict directly and discreetly.
f. Analyzes, justifies and recommends change in operations to enhance productivity and improve service.
g. Takes initiative to participate in organizational projects or trainings.
h. Accepts responsibility for personal development through training, collaboration and teamwork.
-Four-year undergraduate degree in Business or related field of study or associates degree with two to three years of experience in related field.
-Maintains a current FINRA Series 7 & 66 and WI Insurance Life and Health License or obtains within 1 year of employment.
-Successfully completes and maintains in good standing order all industry related licenses and ongoing continuing education requirements
-Zero to six months in the financial services industry preferred
-Demonstrate excellent human relations skills including interpersonal skills using strong verbal and written communication
-Demonstrated intermediate level of industry knowledge
-Demonstrates a high level of problem solving skills outside and within a team environment
-Efficient, detail-oriented, self-starter, able to work independently and as a member of a team
-Proficient in Microsoft Excel, Microsoft Word, Power Point, and a basic understanding of a contact management system
-Exceptional telephone etiquette