Investment Services Assistant

Empower FCU • Syracuse, NY

2d • 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 initiatives. 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 assigned Financial Advisors and program operations; processes investment transactions and account service requests as directed by a licensed Financial Advisor and authorized by the client; prepares account paperwork; schedules appointments; and responds to client calls and inquiries. The role also maintains confidential, accurate, FINRA-compliant records and documentation, safeguards and processes checks and other negotiable instruments according to established procedures, and supports compliance efforts. Additional duties include assisting with business development, referral and marketing initiatives, process improvements, special projects, and other assigned work.

The role requires a two-year college degree, completion of specialized study at a business or trade school, or equivalent practical experience. FINRA Series 7 and Series 63 licenses must be completed within one year of hire. Notary Public certification is required or must be obtained within a timeframe set by management, and required licenses and certifications must be maintained in good standing. The employee must be able to sit for long periods, use hands to handle objects, and talk or hear; occasional walking, reaching, stooping, kneeling, crouching, crawling, and lifting or moving up to 35 pounds are also required. The work environment is usually moderately noisy.

Requirements

• Three to five years of experience in investment services, financial services, banking, wealth management, securities operations, or a related administrative support role is preferred.
• Experience handling confidential financial information and client documentation is required.
• A two-year college degree, completion of a specialized course of study at a business or trade school, or equivalent practical work experience.
• FINRA Series 7 license to be completed within one year of hire.
• FINRA Series 63 license to be completed 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.
• Ability to learn and effectively use financial services platforms, systems, and technology.
• Ability to handle confidential discussions with discretion, diplomacy, and tact.

Nice To Haves

• Experience supporting financial advisors or investment representatives.
• Experience processing transactions, account maintenance requests, or securities-related paperwork.
• Experience working in a regulated financial services environment.
• Knowledge of investment operations, account servicing processes, and securities documentation.

Responsibilities

• Provide administrative support to assigned Financial Advisors and the Investment Services Program.
• Assist Financial Advisors with daily operational and service needs and support advisor productivity through organization, scheduling, and workflow management.
• Maintain knowledge of investment products, services, systems, and industry regulations, and maintain required licenses, credentials, and certifications.
• Ensure activities comply with regulatory requirements, company policies, and industry standards.
• Process and verify investment-related transactions, transfers, account changes, and other client-authorized service requests as directed by a licensed Financial Advisor.
• Receive and respond to calls from existing and prospective clients about Investment Services and 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, and escalate 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 properly retained.
• 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.
• Support compliance by following applicable regulatory requirements, policies, and procedures.
• Support business development and growth initiatives for the Investment Services Program.
• Assist with referral opportunities 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.
• 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.

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level
• Education Level: Associate degree