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

Empower Federal Credit Union•Syracuse, NY

7d•$22 - $33•Onsite

About The Position

The Investment Services Assistant (ISA) provides administrative, operational, member service, and sales support to Empower FCU’s 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 helps promote high service standards, regulatory compliance, operational efficiency, member satisfaction, and program growth. This is a full-time, on-site position at Empower FCU Investment Services offices in Syracuse, New York. The hourly pay range is $21.97–$32.96. Candidates are subject to a background check for employment eligibility; roles requiring an NMLS may also be subject to a credit check.

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 and Series 63 licenses must be completed within one year of hire and maintained in good standing.
Notary Public certification is required or must be obtained within the timeframe established by management.
Strong organizational and time-management skills.
Excellent verbal and written communication skills.
High 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 use financial services platforms, systems, and technology effectively.
Ability to handle confidential discussions with discretion, diplomacy, and tact and to build relationships and solicit cooperation.

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.

Responsibilities

Provide administrative support to assigned Financial Advisors and the Investment Services Program.
Assist Financial Advisors with daily operational and service needs, and support 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 transactions, transfers, account changes, service requests, and new account documentation as authorized and directed.
Answer incoming calls from existing and prospective clients and assist with account servicing and general program inquiries.
Schedule client appointments and maintain advisor calendars.
Communicate professionally and promptly with members, and escalate complex service issues to the appropriate Financial Advisor or Program Manager.
Prepare, review, and maintain account documents, correspondence, reports, and business records accurately and confidentially.
Maintain FINRA-compliant filing systems and ensure required documentation is complete, current, and retained appropriately.
Maintain current forms, prospectuses, disclosures, and regulatory documents for LPL, SEI, AssetMark, and other required providers.
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 support compliance efforts.
Support business development, program growth, and referrals between Investment Services and Empower FCU 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 about project status, challenges, and key developments.
Contribute to departmental goals while meeting established timelines and budgets, and perform other assigned duties.