The primary purpose of this position is to provide general and administrative support to the Investment Center; assists members with servicing issues and needs; and, assists department with client related, technical or procedural queries and/or projects. Complies with broker/dealer and UNFCU policies and procedures; and performs related duties as assigned. This position allows the Financial Advisors the time to focus on business production rather than administrative tasks.
• Resolve client questions and/or concerns regarding existing or prospective accounts with the Investment Center; answer Investment Center phone calls and emails.
• Service less active accounts with lower balances and seek cross selling opportunities to other UNFCU departments such as mortgages, consumer loans, credit cards, etc.
• Provide administrative support to Manager and Financial Advisors such as processing wires, UPS shipping and depositing, reporting (such as CUSO mapping, MCIF, etc…), and ACH processing.
• Assist CUSO management in maintaining databases and creating reports as deemed necessary; this includes but not limited to referrals made by the IC to other departments.
• Ensure that the Investment Center is in regulatory compliance by printing all incoming and outgoing emails from Advisors to clients; acquire Manager’s approval and place copies of emails in all Advisors’ individual client files.
• Proactively support Financial Advisors and assist them in providing efficient and high quality member service by applying BEST principles to every interaction. Deliver a consistently outstanding member experience in regular interactions with members and prospects on the phone or in person. Review and validate referrals.
• Provide periodic quality feedback to the TEAM in support of the Connect the Best initiative by pinpointing potential areas of improvement and suggesting administrative tools or methods which would further efficiency.
• Provide technical assistance to Financial Advisors regarding software and broker dealer’s client system, and assist in researching and obtaining the necessary information to resolve inquiries regarding member documents and monies due.
• Make outgoing phone calls to existing members and prospects to refer and schedule appointments for the Financial Advisors; this includes ushering members to advisors’ offices.
• Review and process paperwork generated by Financial Advisors, and coordinate all operations requests with the Raymond James home office.
• Assist in the preparation of Investment Center seminars and other promotional activities.
• Offer life insurance to members referred by MSRs
TYPE & AMOUNT OF EXPERIENCE:
• Bachelor’s degree and at least two years experience in a financial services environment; Series 7, 66 and life insurance license required; strong knowledge of Microsoft Office and excellent customer service skills.
• Working knowledge of the best investment practices and techniques
• Excellent member service skills
• Knowledge of Investment Center technology, recordkeeping and administrative support
• Interpret investment center policies and make sound decisions within limits of authority
• Excellent oral and written communications skills
• Computer proficiency necessary
• Excellent interpersonal skills and detail orientation
• Professional communication skills, both verbal and written
• Ability to manage relationships at all levels throughout the organization
• Able to multi-task in a fast paced environment
• Professional appearance and a willingness to work flexible hours
• Standard office conditions
In addition to any specific job requirements in connection with Bank Secrecy Act and/or OFAC (BSA), employee must (i) be aware of BSA matters commensurate with the position; (ii) report any suspicious activity to the manager or compliance department; and (iii) satisfactorily complete any required BSA training.