Senior Licensed Financial Advisor Assistant

Peak Credit Union • Eugene, OR

3d • $25 - $37 • Onsite

About The Position

Supports Financial Advisors in the day-to-day management of their investment practices by independently coordinating complex client-service, account-administration, trading-support, and compliance workflows. Serves as a primary point of contact for clients, resolves issues within established authority, maintains complete and accurate books and records, and helps ensure that client commitments, regulatory requirements, and service standards are consistently met.

This is an in-person role based at 545 E 8th Ave, Eugene, OR 97401. Applications are being considered from candidates residing in Oregon and Washington.

The target hourly pay range is $27.42–$31.15, with a full hourly pay range of $24.92–$37.38. Compensation decisions are based on factors such as relevant job-related skills, experience, education, and training. Performance-based compensation incentives are available, with targets varying by role.

Requirements

• High school education.
• Active Series 7 and Series 66 registrations, or active Series 7, Series 63, and Series 65 registrations, plus the applicable state insurance license.
• At least seven years of progressively responsible experience supporting investment, securities, insurance, or wealth-management operations, including demonstrated ownership of complex client-service, account-administration, trading-support, and compliance workflows.
• Knowledge of securities, insurance, retirement, and wealth-management products, services, and regulatory requirements, including FINRA, SEC, and state insurance regulations.
• Skill in managing complex client-service and account-administration activities, including account opening, maintenance, documentation, and issue resolution.
• Skill in preparing, reviewing, and maintaining accurate financial, transactional, and regulatory documentation in accordance with compliance and record-retention standards.
• Ability to independently coordinate and prioritize multiple workflows, deadlines, and service commitments while maintaining accuracy and attention to detail.
• Strong client relationship and communication skills, with the ability to interact effectively with clients, Financial Advisors, vendors, and internal business partners.
• Ability to identify, research, resolve, and appropriately escalate operational, service, and compliance issues using sound judgment and established procedures.
• Ability to support audit, compliance, trading-support, and financial-planning operations while adhering to regulatory requirements, internal controls, and service standards.

Nice To Haves

• Bachelor’s degree in Business or a related field of study.

Responsibilities

• Serve as a primary liaison between clients and Financial Advisors; independently process permitted client requests, resolve routine and moderately complex service issues within established authority, and appropriately escalate advisory, supervisory, or compliance matters.
• Provide professional, timely, and courteous service by phone, email, virtual meeting, and in person.
• Own account opening and maintenance from application preparation through client delivery for securities and insurance accounts, including taking applications as requested, validating paperwork, tracking status, obtaining missing information, coordinating with internal and external partners, confirming receipt of funds, and ensuring client files are complete and audit-ready.
• Maintain complete, timely, and accurate CRM records of client, prospect, and vendor interactions, including contact history, service actions, referrals, and outstanding commitments.
• Review dashboards and exception reports daily, prioritize unresolved items, coordinate resolution, confirm completion, and document actions according to record-retention and regulatory requirements.
• Coordinate operational preparation for financial-planning, annual-review, quarterly-review, and other client meetings, including client data, balance sheets, investment-allocation summaries, agendas, illustrations, account documentation, charts, graphs, added-service materials, and outstanding service items.
• Partner with Financial Advisors or firm principals after client meetings to document decisions, assign and prioritize follow-up actions, monitor deadlines, communicate status, and ensure commitments are completed or escalated.
• Process permitted equity, fixed-income, mutual-fund, and variable-annuity transactions under advisor direction and within licensing and supervisory authority; verify required documentation, follow established controls, monitor completion, and support timely annual required minimum distribution and advisory-review workflows without providing recommendations or acting in an advisory capacity.
• Organize and retain statements, client information, and related documents according to filing, record-retention, privacy, and information-security procedures.
• Coordinate client calls, emails, and other communications; independently address permitted requests, research and resolve service issues within established authority, communicate actions and status to the Financial Advisor, and record complete notes in the CRM.
• Prepare and input data into retirement plan forms and asset allocation programs.
• Perform other duties as assigned.

Benefits

• Medical, dental, vision, and life insurance coverage for employees and eligible family members.
• Option for medical, dental, and vision insurance to be paid 100% by the company for employee-only coverage.
• Health Care FSA, Health Savings Account with employer contributions, and Dependent Care FSA.
• Life and AD&D insurance.
• 401(k) plan.
• Full-time regular employees accrue 8 hours of vacation and 8 hours of sick leave monthly.
• 11 paid holidays per calendar year, one floating holiday, 16 hours of self-care time, and 16 hours of volunteer time for full-time regular employees.
• Benefits other than 401(k) begin the first of the month following the date of hire; 401(k) contributions become available the first of the month following 60 days of employment.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior
• Education Level: High school or GED