Financial Assistant

WORKERS FEDERAL CREDIT UNION•Littleton, MA

8d•$0 - $65,000•Hybrid

About The Position

The Financial Assistant provides administrative, client service, and operational support to the Credit Union's Wealth Management Program. This role supports Financial Advisors, Senior Financial Advisors, and Program Management by assisting with appointment coordination, client communications, document preparation, workflow management, and general office administration. The Financial Assistant plays an important role in delivering exceptional client experience by ensuring efficient administrative support and timely service while operating within the regulatory limitations of a non-licensed position. This role does not provide investment advice, discuss specific investment recommendations, solicit securities transactions, or perform activities requiring securities or insurance licensure. Additionally, the Financial Assistant provides coordinated sales and service support to Financial Advisors. This includes direct and indirect communication with credit union members, prospects, and existing clients, in efforts to identify sales opportunities for the Financial Advisors.

Requirements

High school diploma or equivalent.
1–3 years of administrative office and client service experience required.
Understanding of investment products (mutual funds, annuities, advisory accounts) and services offered.
Solid knowledge of wealth management program operations and procedures.
Familiarity with client service processes.
Awareness of regulatory and compliance standards within financial services.
Strong organizational and time‑management skills.
High attention to detail and accuracy.
Proficiency in Microsoft Office (Excel, Word, Outlook) and CRM systems.
Effective written and verbal communication skills.
Sales-oriented, strong work ethic and self –motivated.
Ability to manage multiple priorities in a deadline‑driven environment.
Ability to work independently and as part of a team.
Ability to handle sensitive client information with discretion and professionalism.
Ability to quickly learn and adapt to new technology.

Nice To Haves

Financial service and sales experience preferred.
Experience supporting advisors or working within a broker‑dealer, RIA, bank, or credit union a plus.
FINRA SIE (Securities Industry Essentials) is recommended within 2 years.

Responsibilities

Serve as a primary point of contact between the financial advisor, prospects, and clients.
Provide professional, courteous, and responsive service to members, clients, and credit union employees.
Respond to routine inquiries and direct investment-related questions to appropriately licensed personnel.
Maintain regular communication with clients regarding scheduling, paperwork requirements, and service requests.
Follow up with clients to obtain missing information or documentation needed for account processing.
Schedule client appointments, account reviews, and advisor meetings.
Manage advisor calendars and assist with meeting coordination.
Prepare client meeting packets, reports, presentations, and correspondence.
Organize and maintain electronic and physical client records.
Assist with filing, scanning, document indexing, and records management.
Review meeting results and execute follow-up steps as directed by the Financial Advisor.
Process and finalize closed business.
Track progress, prepare reports, and document sales results.
Assist with account paperwork preparation and submission.
Monitor service requests and workflow items to ensure timely completion.
Track outstanding documentation and follow up with clients and internal partners.
Support account maintenance activities, including address changes, beneficiary updates, and other administrative requests.
Coordinate with internal departments to facilitate service requests and operational activities.
Support marketing campaigns and member outreach initiatives.
Maintain referral tracking logs and appointment scheduling related to referral activities.
Assist with client review campaigns and advisor outreach efforts.
Help ensure broker-dealer platform, CRM systems and prospect databases remain current and accurate.
Assist in coordinating financial education seminars, workshops, and member events.
Maintain confidentiality of member and client information.
Adhere to all credit union and broker-dealer privacy, security, and confidentiality policies.
Understand and operate within the limitations of an unlicensed role.
Refer all investment, insurance, financial planning, or product recommendation discussions to licensed personnel.
Maintain accurate records in compliance with organizational policies and record retention requirements.
Capture and enter relevant client data and meeting notes, along with appropriate signed documents, into the client contact record on the broker-dealer platform.
Maintain a current knowledge of investment products and services offered.
Comply with all FINRA, SEC, and regulatory requirements.
Provide administrative support to advisors and wealth management team members.
Assist with departmental projects and operational initiatives.
Collaborate with branch personnel and internal departments to support member needs.
Contribute to a positive and service-oriented work environment.
Support office organization and daily administrative functions.
Assist with special projects and process improvement initiatives.
Support onboarding activities for new clients and team members.
Participate in departmental meetings and training programs.
Assist with office supply management and vendor coordination.
Participate in community events, member education programs, and financial wellness activities.
Assist with training and mentoring new support staff as assigned.
Assist the Program Manager and Financial Advisors with efforts to promote IPS services.
Execute delivery of compliance approval marketing material; includes monthly newsletters, email blast campaigns, educational webinars/seminars, and client appreciation events.
Explore, identify, and evaluate potential sales opportunities among existing book-of-business clients.
Attend required meetings, training sessions, and professional development programs.
Remain knowledgeable about wealth management products and services at a general level.
Maintain professionalism in all interactions with members, clients, and employees.
Travel occasionally between branch locations if required.
Perform additional duties or responsibilities as assigned, requested, or deemed appropriate by management.
Comply with all WCU policies and procedures.
Contribute to departmental/organizational projects and initiatives.
Provide backup support to other operations or administrative staff when needed.
Maintain high ethical standards at all times.

Benefits

Continuing education support.
Access to LPL’s tools, technology, support, resources, expertise and suite of customized services.
Comprehensive medical, dental and vision plans
Basic life and AD&D insurance, short-term disability and long-term disability
15+ days of paid time off (PTO) per year
Up to 16 hours of volunteer time off (VTO) per year
11+ paid holidays
401(k) that includes a Safe Harbor Match of up to 4%.
Tuition Reimbursement Program
Mental health resources including an Employee Assistance Program (EAP)
Individualized learning and development programs