Investment Services Assistant (On-Site in Syracuse, NY)

Empower FCU•Syracuse, NY

6d•Onsite

About The Position

The Investment Services Assistant (ISA) provides administrative, operational, member-service, and sales support to the Investment Services Program. The role supports Financial Advisors and the Operations Manager by processing transactions, maintaining accurate records, coordinating client communications, and assisting with business development. It contributes to service quality, regulatory compliance, operational efficiency, member satisfaction, and the growth of the investment program. The position is based in Syracuse, New York, and requires full-time, on-site presence at Empower FCU Investment Services offices. The ISA supports advisor workflows and daily operations, processes investment-related service requests and account documentation, responds to client inquiries, and maintains confidential, accurate, FINRA-compliant records. The role also supports program development, referral opportunities, marketing coordination, process improvements, and special projects. Licenses and certifications specified for the role must be maintained in good standing.

Requirements

Experience handling confidential financial information and client documentation.
A two-year college degree, completion of a specialized course of study at a business or trade school, or equivalent practical work experience.
Complete FINRA Series 7 and Series 63 licenses within one year of hire.
Notary Public certification is required or must be obtained within a timeframe established by management.
Maintain all required licenses and certifications in good standing.
Strong organizational and time-management skills.
Excellent verbal and written communication skills.
High degree of accuracy and attention to detail.
Proficiency with Microsoft Office applications, including Word, Excel, Outlook, and Teams.
Ability to manage multiple priorities and meet deadlines in a fast-paced environment.
Knowledge of investment operations, account servicing processes, and securities documentation.
Ability to learn and effectively use financial services platforms, systems, and technology.
Ability to exercise discretion and tact when handling confidential discussions, resolving first-level conflicts, building relationships, and soliciting cooperation.

Nice To Haves

Three to five years of experience in investment services, financial services, banking, wealth management, securities operations, or a related administrative support role.
Experience supporting financial advisors or investment representatives.
Experience processing transactions, account maintenance requests, or securities-related paperwork.
Experience working within a regulated financial services environment.

Responsibilities

Provide administrative support to assigned Financial Advisors and the Investment Services Program, including organizing schedules and workflows.
Assist Financial Advisors with daily operational and service needs and support advisor productivity.
Maintain knowledge of investment products, services, systems, and industry regulations, and maintain required licenses, credentials, and certifications.
Complete activities in accordance with regulatory requirements, company policies, and industry standards.
Process and verify investment transactions, transfers, account changes, and other service requests as directed by a licensed Financial Advisor and authorized by the client.
Receive and respond to calls from existing and prospective clients; assist with account servicing and general program inquiries.
Prepare and process new account documentation and related paperwork.
Schedule client appointments and maintain advisor calendars.
Communicate with members professionally, accurately, and promptly, escalating complex service issues to the appropriate Financial Advisor or Program Manager.
Prepare, review, and maintain account documentation, correspondence, reports, and business records accurately and confidentially.
Maintain FINRA-compliant filing systems and ensure required documentation is complete, current, and retained properly.
Maintain current LPL, SEI, AssetMark, and other required forms, prospectuses, disclosures, and regulatory documents.
Open and process incoming client correspondence when authorized by the LPL OSJ Manager.
Accept, document, safeguard, and process checks, securities, and other negotiable instruments according to established procedures.
Record service activities, correspondence, and client interactions in designated tracking systems and follow applicable compliance requirements, policies, and procedures.
Support business development and growth initiatives, including referrals between Investment Services and Empower Federal Credit Union business units.
Coordinate with Marketing and Communications to promote investment services to current and prospective members.
Participate in process improvement initiatives and assist with special projects and departmental initiatives as assigned.
Keep the Operations Manager informed of project status, challenges, and key developments.
Contribute to departmental goals while meeting established timelines and budgets, and perform other duties as assigned.