Investment Sales Assistant (Entry Level Full-time)

Description

Navigator Credit Union is currently recruiting for a full time Investment Sales Assistant (Entry Level Full-Time). If you have a passion for exceptional service, relationship building, and want to be a part of a team that focuses on creating substantial value in the communities we serve, while exceeding goals, we want to hear from you! We encourage all interested, qualified candidates that enjoy working in a fast paced environment to apply. We provide paid vacation after 90 days, paid holidays, 401k with a company match, medical, referral bonus, and several other benefits after 30 days employment for our team members including incentive opportunities. Navigator Credit Union is an Equal Opportunity Employer. Navigator does not discriminate on the basis of race, religion, color, sex, gender identity, sexual orientation, age, non-disqualifying physical or mental disability, national origin, veteran status or any other basis covered by appropriate law.   

ROLE: 

Serve as an integral part of the NCUWM program, building and maintaining relationships with clients, prospects, employees & vendors. Provide support, consistent with Navigator’s strategic vision to achieve NCU Wealth Management goals that will lead to client and assets under management growth. Responsible for assigned duties with regard to NCU Wealth Management sales, support, compliance, documentation and events. Reports to the Investment Services Program Director.

DESCRIPTION OF DUTIES: 

· Complete all on-the-job training necessary to proficiently utilize Advisor Workspace, Salesforce, brokerage platform and other software programs. Attend 1 week advisor academy (travel required). Complete studies and training over initial 12-18 months to attain NASD securities licensing. 

· Set up brokerage accounts and monitor trade activity for accuracy; establish and maintain member files to meet compliance requirements. Grow business with referrals, marketing events, employee education, seminars and lobby days. Improve efficiency and productivity of existing Financial Advisors and answering follow-up questions office to obtain necessary documentation.

· Serve as a second source for clients (complete mutual fund trade tickets, place trades; monitor settlements). Work with clients to order retirement packages and paperwork. Process paperwork for annuities and life insurance products. Review all submitted paperwork for accuracy and completeness before submission. 

· Maintain client accounts such as address and account changes, trade executions. Evaluate client calls and respond when appropriate. Monitor Advisor’s office for marketing, office and compliance materials.

· Must comply with applicable laws and regulations. Create and maintain complete and accurate files for NASD and other regulator audits. Assist the advisor in maintaining compliance requirements of the broker dealer and regulators. Adhere to all FINRA, TruStage and LPL Financial compliance guidelines and credit union policies. Attain necessary training and licensing at state level and FINRA level.

· Provide support for all client events. Assist with set up for seminars. Assist associate advisors when needed.

EXPERIENCE: 

· Two to five years of similar or related experience preferred, including time spent in preparatory positions or other banking/finance positions. 

EDUCATION:  

· Minimum Two-year college degree is required, B.S. in Business Finance or General Business preferred.

· Position will require obtaining NASD Series 6, 66, and Life Insurance Licenses Required with Series 7 Preferred over the first 18 months of employment.

SPECIFIC SKILLS: 

· Ability to learn to use advanced software including Salesforce CRM, Microsoft Office and brokerage trading platforms.

· Ability to comprehend high-level mathematical concepts such as making long-term projections using assumed rates of return and present value/future value calculations.

· Ability to learn advanced IRS tax law rules and general understanding of accounting procedures as they relate to investments.

ADA REQUIREMENTS:

PHYSICAL REQUIREMENTS:

· Perform primarily sedentary work with limited physical exertion and occasional lifting of up to 5 lbs. Must be capable of climbing/descending stairs in emergency situation. Must be able to operate routine office equipment including telephone, copier, facsimile, and calculator. Must be able to routinely perform work on computer for an average of 6-8 hours per day. Must be able to work extended hours whenever required or requested by management. Must by capable of regular, reliable and timely attendance.

WORKING CONDITIONS:

· Must be able to routinely perform work indoors in climate-controlled shared work area with moderate noise.

MENTAL REQUIREMENTS:

· Must be able to perform job functions with supervision and work effectively either on own or as part of a team. Must be able to read and carry out various instructions and follow oral instructions. Must be able to speak clearly and deliver information in a logical and understandable sequence. Must be able to perform basic mathematical calculations with extreme accuracy. Must be capable of dealing calmly and professionally with numerous different personalities from diverse cultures at various levels within and outside of the organization and demonstrate highest levels of customer service and discretion when dealing with the public. Must be able to perform responsibilities with composure under the stress of deadlines/requirements for extreme accuracy and quality and/or fast pace. Must be able to effectively handle multiple, simultaneous, and changing priorities. Must be capable of exercising highest level of discretion on confidential matters.