Investment Services Assistant

Empower Federal Credit Union • Syracuse, NY

3d • Onsite

About The Position

The Investment Services Assistant (ISA) provides administrative, operational, member service, and sales support to the Investment Services Program. The position 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 role is based in Syracuse, New York, and requires full-time, on-site presence at Empower FCU Investment Services offices. The position requires 3 to 5 years of related experience preferred, and a two-year college degree, specialized business or trade school study, or equivalent practical work 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 established by management. All required credentials must be maintained in good standing.

Requirements

• 3 to 5 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 date and maintained in good standing.
• FINRA Series 63 license to be completed within one year of hire date and maintained in good standing.
• Notary Public certification is required or must be obtained within a timeframe established by management; required certifications must be maintained 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 confidentiality and discretion and communicate with diplomacy and tact.
• Ability to meet the described physical demands, with reasonable accommodations where applicable.

Nice To Haves

• 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; assist with daily operational and service needs and organize scheduling and workflows.
• 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, and service requests as directed by a licensed Financial Advisor and authorized by the client.
• Respond to calls from existing and prospective clients, assist with account servicing and general inquiries, prepare new account documentation, schedule appointments, and maintain advisor calendars.
• Communicate with members and clients in a timely, professional, and accurate manner; 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 documentation is complete, current, and properly retained.
• Maintain current versions of required forms, prospectuses, disclosures, and regulatory documents from LPL, SEI, AssetMark, and other sources.
• 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 by following applicable requirements, policies, and procedures.
• Support business development and program growth initiatives, including 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 as assigned.
• Keep the Operations Manager informed of project status, challenges, and key developments; contribute to departmental goals within established timelines and budgets.
• Perform other duties as assigned.

What This Job Offers

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