Investment Advisor Associate

Columbia Credit Union • Vancouver, WA

13h • $23 - $27

About The Position

Provides full support to the Advisors (Investment Representatives) and VP Investments & Insurance, ensuring client satisfaction through direct client contact, frequent contact with vendors, daily interaction with operational employees, and adhering to regulatory standards. Duties include executing insurance and investment buy and/or sell orders for assigned clients and taking appropriate action on behalf of Advisors on their clients’ accounts, maintaining files, preparing client documents and researching client issues.

Requirements

• Minimum two (2) years’ experience in financial services and/or investment industry experience.
• Bachelor’s degree in a business-related field and/or an equivalent combination of education and experience.
• Proficient knowledge of the investment and insurance industry. Series 7 and 63/65 or 66 Registrations and State Insurance License are preferred. Or, must attain Registrations and License within six months of hire date.
• Pass Broker Dealer’s background review.
• Ability to prioritize and work either independently or as part of a team.
• Be comfortable exercising judgment, evaluating a situation and deciding.
• Detail oriented with strong organizational and client services skills.
• Excellent written and verbal communication skills.
• Must be familiar with Money Guide Pro and Albridge reporting as well as Broker Dealer’s trading platform. Understands and uses My Portfolio View and Build My Profile with clients.
• Possesses working knowledge of investment and insurance products and services offered.
• Professional appearance, scheduling reliability, and ability to build and maintain a cooperative rapport with colleagues.
• Proficient with MS Office Suite’s Word, Excel, Teams, Outlook and Power Point.
• Rigorously maintain confidentiality and positively influence and instill trust using approved methods to authenticate people in person, digitally, and on the telephone.
• Self-starter with a passion for exploring the role investments and insurance play in “making life better” for our member-investors.
• Understands appropriate paperwork and procedures necessary to make transactions.

Responsibilities

• Comply with Federal, State, Broker Dealer, and Columbia CU regulations, policies and procedures. Process incoming business to multiple companies, meeting FINRA and state insurance regulatory requirements. Assists management and department staff to ensure all FINRA and insurance audit requirements are met, including assisting in audit preparation.
• Meets established minimum existing client and prospective calls.
• Supports Columbia CU Guiding Principles and Core Values.
• Assists management by working closely with Columbia CU marketing and Broker Dealer compliance departments to ensure Investments and Insurance Group advertising and materials are reviewed and approved by Broker Dealer then properly archived per document retention requirements.
• Answers phone calls, greets in-person visitors, and maintains department calendars. Coordinates meeting schedules with existing clients, new prospects, and product providers for self and Advisors.
• Develops and maintains long-term relationships with clients. Listens empathetically to clients and gathers facts, analyzes total needs, and makes responsible recommendations.
• Take orders from clients and place them for execution. Working with moderately complex and confidential documents and reports, answers easy to moderate client service questions related to their accounts.
• Provides baseline research support for self and Advisors, including product, AUM and client segmentation of investment and insurance portfolios.
• Creates and updates various reports on weekly, monthly or annual basis for management, sales, compliance, or member-facing use. Ensure all client information is properly tracked in the Broker Dealer’s CRM platform Notes section.
• Generates new sales appointments, increasing client engagement and revenue, using effective and compliant phone, digital and/or mail initial-outreach and follow-up to assigned book of business.
• Prospects for new clients responding to assigned branch referrals, attending Columbia CU benefit partner events, and participating in membership/public seminars.
• Transacts business on behalf of self and the Advisors as necessary, reviewing and processing investment and insurance transactions as authorized. Manages own (and assists Advisors with their) back-to-representative (BTR) administration.

Benefits

• Medical, Dental, Vision for employee - eligible the 1st of the month following hire date
• Accrued PTO, Accrued Extended Sick Time and 11 Paid Bank Holidays
• 401k Match- 100% match up to 6% employee contribution
• Tuition Assistance

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Number of Employees: 101-250 employees