Investment Assistant

Members 1st Federal Credit Union•Enola, PA

About The Position

The purpose of this role is to provide administrative, operational, clerical, and sales support for the credit union’s Investment Services group with the goal of providing exceptional customer service and an unparalleled customer experience to members, clients, associates, and the community at large. The individual must be affiliated with the broker/dealer of our investment program. The role works directly with and supports the wealth advisors by providing administrative support needed to help grow the book of business with existing clients and process any new business. This is done with overall efficiency and detail oriented with the tasks requested and required for a successful business to prosper and maintain the expected client relationships, so they mature and grow at the pace of the client’s needs and goals. This role oversees confidential information and matters that require the individual to always have a high degree of discretion and be extremely cautious with whom it is shared. The Investment Assistant position provides administrative, organizational and infrastructure support for their wealth advisors. The role will provide administrative support to the wealth advisors by preparing documents for client or member meetings, reports or presentations requested to support the agenda of the meeting. It may include pulling reports from our financial platform of the broker/dealer, and accessing meeting notes from our CRM system. This role will have daily conversations on the phone with clients, prospects or members, broker/dealer, other outside vendors, internal departments or retail branches. The investment referrals will come from our retail branches,and other credit union departments as well. These prospects or members will need to be contacted to determine whether they wish to discuss investments with an advisor and if they qualify per our QKA guidelines. The Investment Assistant will schedule appointments, add notes to MRM, and manage the advisor’s calendar daily. There will be a need to keep track of specific tasks and activities in our CRM system or outlook. They will track and qualify the referral as directed by the advisors for associate incentive in our MRM system. They will correspond and work on a regular basis with clients or members, broker/dealer, prospects, other outside vendors and internal departments and retail branches. It may be oral, written, or direct inquiries that you will be receiving and executing on for service that a client or prospect requests. This role requires teamwork with various personnel and especially with our own investment services group. In addition, the role will require you to add new clients/prospects as contacts in our CRM system, adding notes to the contacts and imaging documents to this CRM system. Within the financial platform of our broker/dealer, you will add new client business, upload documents, review notifications and documents not in good order, run reports through a reporting tool within the system, process service requests such as move money, client data updates (change of address, beneficiary adds/changes, email, POA), add online access for clients, process death claims, account transfers, add TOD’s, etc. The processing of new business may require you to send overnight courier packages. There may be project work that could involve using Microsoft programs for tracking and managing business such as RMD’s, systematic withdrawals, etc. This role has no direct revenue or cost management responsibility. However, the position is critical to the well-being of the advisor and their business and directly affects the credit union’s profitability and member satisfaction through exceptional customer service and experience. This individual must maintain compliance with all credit union, NCUA, broker/dealer, FINRA policies and regulations.

Requirements

1-3 years of related experience
General and business knowledge equivalent to a high school diploma
Strong organizational, analytical, time management and problem-solving skills and sufficient expertise to organize details
Ability to work with various personnel on unrelated projects involving multiple tasks and deadlines, specific deliverables, and expected tangible outcomes
Knowledgeable of systems including LPL (clientworks), Redtail (CRM), MRM and Microsoft programs
Ability to be a business professional on phone calls, have excellent written and oral communication, manage difficult calls or engagements in person and be able to de-escalate the conversation to end with a solution that is appropriate for both the client/member and the advisor/assistant
Proactive with the advisors and clients you support, take independent action on assigned tasks and be multi tasked oriented to work on various projects at one time plus prioritize them based on urgency of the request
Keep workflow processes current and up to date for efficiency and accuracy
Ability to communicate effectively in English, both orally and in writing
Visually able to perform activities such as preparing and analyzing data and figures, viewing a computer terminal, and extensive reading
Ability to sit for extended time periods
Sufficient manual skill for operation of PC keyboard and other standard office equipment
Ability to exert minimum amounts of force occasionally to lift, carry, push, pull or move objects

Nice To Haves

Affiliated with the broker/dealer of our investment program.

Responsibilities

Provide administrative, operational, clerical, and sales support for the credit union’s Investment Services group.
Support wealth advisors by preparing documents for client or member meetings, reports, or presentations.
Pull reports from the financial platform of the broker/dealer and access meeting notes from the CRM system.
Engage in daily conversations on the phone with clients, prospects, members, broker/dealer, outside vendors, internal departments, or retail branches.
Contact investment referrals to determine interest in discussing investments with an advisor and if they qualify per QKA guidelines.
Schedule appointments, add notes to MRM, and manage the advisor’s calendar daily.
Track and qualify referrals for associate incentive in the MRM system.
Correspond and work on a regular basis with clients, members, broker/dealer, prospects, outside vendors, internal departments, and retail branches.
Add new clients/prospects as contacts in the CRM system, add notes, and image documents to the CRM system.
Add new client business within the financial platform of the broker/dealer, upload documents, review notifications and documents not in good order, and run reports.
Process service requests such as move money, client data updates, add online access for clients, process death claims, account transfers, and add TOD’s.
Send overnight courier packages for new business processing.
Engage in project work using Microsoft programs for tracking and managing business such as RMD’s and systematic withdrawals.
Maintain compliance with all credit union, NCUA, broker/dealer, FINRA policies and regulations.