Wealth Management Non-Licensed Associate
About The Position
The primary purpose of this position is to assist Silver State Schools Credit Union to live out its Mission, "Prioritizing People Over Profit," by providing outstanding service to both members and internal members. This role is responsible for all clerical aspects of the Wealth Management Program, including day-to-day clerical operations, scheduling appointments, administrative functions in support of sales/referrals, outbound referral calls, client maintenance, and acting as a liaison between the Financial Advisor and Credit Union Staff. The goal is to achieve all Wealth Management Program and Credit Union goals.
Requirements
- High school diploma or general education degree (GED); or six months to one year's related experience and/or training; or equivalent combination of education and experience.
- Knowledge and/or interest in the investment field.
Nice To Haves
- Series 6 and/or investment license preferred, but not a requirement.
Responsibilities
- Distribute approved informational literature regarding the brokerage, investment advisory and insurance products and services offered by the Registered Representative, upon FI Member or Member request.
- Ensures that the Wealth Management program meets compliance standards as established by regulatory agencies, FINRA, and/or our Wealth Management Partner, TruStage.
- Contacts current and prospective clients to schedule appointments for the Financial Advisor, follows up on referrals and compiles weekly activity reports.
- Provides administrative support to Financial Advisor(s) including maintenance of advisor schedule, appointments and calendar, outbound referral calls, assisting in managing advisor calls/messages, creating and managing client profiles, contact information and requests.
- Processes paperwork on sales activities, establishes and maintains client files, files vendor statements, submits expenses for payment, takes incoming calls, processes incoming and outgoing mail, keeps supplies and brochures current and maintains updated records.
- Works with multiple investment firm associates to ensure member/client needs are being met.
- Maintains client database for tracking purposes and uses brokerage software for providing clients with investment performance information.
- Assists with marketing efforts as needed including targeted mailings, outbound referral calls, organizing seminars and staff meetings and displaying lobby materials.
- Keeps track of employee referrals and reports them monthly to ensure payout, while providing program reports, including monthly results, employee referral incentive payouts, revenues generated and growth of the program.
- Looks for opportunities to cross-sell and/or refer credit union products and services to investment clients.
- Maintains confidentiality of member information by adhering to SSSCU's policies and procedures for data security and privacy.
- Other duties assigned.
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What This Job Offers
Job Type
Full-time
Career Level
Entry Level
Education Level
High school or GED
