Financial Assistant

About the role

The Financial Assistant provides administrative, client service, and operational support to the Credit Union's Wealth Management Program. This role supports Financial Advisors, Senior Financial Advisors, and Program Management by assisting with appointment coordination, client communications, document preparation, workflow management, and general office administration.

Responsibilities

• Serve as a primary point of contact between the financial advisor, prospects, and clients.
• Provide professional, courteous, and responsive service to members, clients, and credit union employees.
• Respond to routine inquiries and direct investment-related questions to appropriately licensed personnel.
• Maintain regular communication with clients regarding scheduling, paperwork requirements, and service requests.
• Follow up with clients to obtain missing information or documentation needed for account processing.
• Schedule client appointments, account reviews, and advisor meetings.
• Manage advisor calendars and assist with meeting coordination.
• Prepare client meeting packets, reports, presentations, and correspondence.
• Organize and maintain electronic and physical client records.
• Aid in filing, scanning, document indexing, and records management.
• Review meeting results and execute follow-up steps as directed by the Financial Advisor.
• Process and finalize closed business.
• Track progress, prepare reports, and document sales results.
• Assist with account paperwork preparation and submission.
• Monitor service requests and workflow items to ensure timely completion.
• Track outstanding documentation and follow up with clients and internal partners.
• Aid in account maintenance activities, including address changes, beneficiary updates, and other administrative requests.
• Coordinate with internal departments to facilitate service requests and operational activities.
• Support business development initiatives, including marketing campaigns and member outreach.
• Maintain referral tracking logs and appointment scheduling related to referral activities.
• Aid in client review campaigns and advisor outreach efforts.
• Help ensure broker-dealer platform, CRM systems, and prospect databases remain current and accurate.
• Aid in coordinating financial education seminars, workshops, and member events.
• Maintain confidentiality of member and client information.
• Adhere to all credit union and broker-dealer privacy, security, and confidentiality policies.
• Understand and operate within the limitations of an unlicensed role.
• Refer all investment, insurance, financial planning, or product recommendation discussions to licensed personnel.
• Maintain accurate records in compliance with organizational policies and record retention requirements.
• Capture and enter relevant client data and meeting notes, along with appropriate signed documents, into the client contact record on the broker-dealer platform.
• Maintain a current knowledge of investment products and services offered.
• Comply with all FINRA, SEC, and regulatory requirements.
• Provide administrative support to advisors and wealth management team members.
• Aid in departmental projects and operational initiatives.
• Collaborate with branch personnel and internal departments to support member needs.
• Contribute to a positive and service-oriented work environment.
• Support office organization and daily administrative functions.
• Assist with special projects and process improvement initiatives.
• Support onboarding activities for new clients and team members.
• Participate in departmental meetings and training programs.
• Aid in office supply management and vendor coordination.
• Participate in community events, member education programs, and financial wellness activities.
• Aid in training and mentoring new support staff as assigned.
• Execute delivery of compliance approval marketing material; includes monthly newsletters, email blast campaigns, educational webinars/seminars, and client appreciation events.
• Explore, identify, and evaluate potential sales opportunities among existing book-of-business clients.

Requirements

• High school diploma or equivalent.
• 1–3 years of administrative office and client service experience required.
• Financial service and sales experience preferred.
• Experience supporting advisors or working within a broker-dealer, RIA, bank, or credit union a plus.
• FINRA SIE (Securities Industry Essentials) is recommended within 2 years.

Qualifications

• Understanding of investment products (mutual funds, annuities, advisory accounts) and services offered.
• Solid knowledge of wealth management program operations and procedures.
• Familiarity with client service processes.
• Awareness of regulatory and compliance standards within financial services.

Skills

• Strong organizational and time-management skills.
• High attention to detail and accuracy.
• Proficiency in Microsoft Office (Excel, Word, Outlook).
• Effective written and verbal communication skills.
• Sales-oriented, strong work ethic and self-motivated.

Benefits

Our benefits package includes:

• Comprehensive medical, dental, and vision plans.
• Basic life and AD&D insurance, short-term disability, and long-term disability.
• Up to 15 days of paid time off (PTO) per year.
• Up to 16 hours of volunteer time off (VTO) per year.
• 11 paid holidays.
• Tuition reimbursement program.
• Mental health resources including an Employee Assistance Program (EAP).
• Individualized learning and development programs.

Pay

$65,000 - Actual compensation offered may vary based on factors such as relevant experience, time in role, base salary of internal peers, prior performance, business sector, licensure requirements, and skill level.

Schedule

This position offers a hybrid work environment, combining remote work with regular on-site days at the Lunenburg Branch – IPS Office. This work environment is subject to change based on business needs.