Licensed Financial Advisor Assistant

Peak Credit Union • Eugene, OR

7d • Onsite

About The Position

This position manages all details of clients, prospects and vendors in the Client Relationship Management (CRM) system. Ensures all required disclosures and transaction documentation is complete. Interacts daily with clients, process client requests and answer basic client inquiries.

Requirements

• A minimum of five (5) years' related experience in a support role in securities, insurance, and/or financial services.
• Series 7, Series 66 or Series 65 & Series 63, and Insurance License.

Nice To Haves

• Associate degree in business or a related field.

Responsibilities

• Interacts daily with clients, process client requests and answer basic client inquiries in a timely manner.
• Manages account setup from submission of application to client delivery, which includes preparing all paperwork, tracking account status, fulfilling missing requirements, ensuring account/policy is issued, funds are received and that the client’s file is complete for compliance needs.
• Documents all contact and actions taken with client in CRM, including all details of clients, prospects and vendors.
• Reviews the CRM dashboard daily and identify items that need to be addressed and handled, confirm the task is completed and record notes in CRM.
• Coordinates the preparation of financial plans, annual or quarterly reviews and other ad-hoc client meetings material.
• Discusses and organize follow-up steps with the advisors or firm principals after client meetings.
• Executes equity, fixed income, mutual fund and variable annuity transactions under the direction of the firm principal or advisors.
• Ensures RMD’s and Advisory reviews are done annually.
• Executes trades as directed by the Financial Advisors.
• Files statements, client information and other related documents.
• Manages phone calls, faxes and emails from clients and take action needed in response to inquiry.
• Communicate actions taken to advisor and record in Contact Management System.
• Insures that all required disclosure and transaction documentation is complete.
• Maintains security and insurance records.
• Maintains the client referral program by coordinating next steps and providing required advisor/principal support.
• Participates in the development of annual audit plans.
• Populates and maintains accurate client data in client relationship management database.
• Prepares balance sheets, investment allocation summaries, meeting agendas, charts, graphs and added services.
• Prepare client files for meetings with Financial Advisors.
• Prepares and inputs data into retirement plan forms and asset allocation programs.
• Schedules appointments for the Financial Advisors.
• Sends outgoing wires.
• Verifies cash balances for systematic withdrawal program.
• Takes securities and insurance applications and opens securities and insurance accounts as requested.
• Monitors continuing education requirements for advisors, principals and team members.
• All other duties as assigned.

Benefits

• medical, dental, vision and life insurance coverage
• Medical, Dental, and Vision insurance to be paid at a 100% by company for the employee only coverage
• Health Care FSA (HCFSA)
• Health Savings Account (HSA) with employer contributions
• Dependent Care FSA (DCFSA)
• Life and AD&D insurance
• 401k plan
• 8 hours of vacation per month
• 8 hours of sick leave per month
• 11 paid holidays throughout the calendar year
• 1 floating holiday
• 16 hours of self-care time
• 16 hours of volunteer time

What This Job Offers

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