Investment Advisor Associate

About the role

Provides full support to the Advisors (Investment Representatives) and VP Investments & Insurance, ensuring client satisfaction through direct client contact, frequent contact with vendors, daily interaction with operational employees, and adhering to regulatory standards.

Responsibilities

• Comply with Federal, State, Broker Dealer, and Columbia CU regulations, policies and procedures.
• Process incoming business to multiple companies, meeting FINRA and state insurance regulatory requirements.
• Affords support to management and department staff to ensure all FINRA and insurance audit requirements are met, including assisting in audit preparation.
• Maintains minimum existing client and prospective calls.
• Supports Columbia CU Mission and Corporate Values.
• Affords support to Columbia CU marketing and Broker Dealer compliance departments to ensure Investments and Insurance Group advertising and materials are reviewed and approved by Broker Dealer then properly archived per document retention requirements.
• Answers phone calls, greets in-person visitors, and maintains department calendars.
• Clocks meeting schedules with existing clients, new prospects, and product providers for self and Advisors.
• Develops and maintains long-term relationships with clients. Listens empathetically to clients and gathers facts, analyzes total needs, and makes responsible recommendations.
• Takes orders from clients and places them for execution. Works with moderately complex and confidential documents and reports, answers easy to moderate client service questions related to their accounts.
• Creates and updates various reports on weekly, monthly or annual basis for management, sales, compliance, or member-facing use.
• Generates new sales appointments, increasing client engagement and revenue, using effective and compliant phone, digital and/or mail initial-outreach and follow-up to assigned book of business.
• Prospects for new clients responding to assigned branch referrals, attending Columbia CU benefit partner events, and participating in membership/public seminars.
• Transacts business on behalf of self and the Advisors as necessary; reviewing and processing investment and insurance transactions as authorized.
• Manages own (and assists Advisors with their) back-to-representative (BTR) administration.
• Safeguards all client information is properly tracked in the Broker Dealer’s CRM platform.
• Rigorously maintains confidentiality and positively influences and instills trust using approved methods to authenticate people in person, digitally, and on the telephone.
• Understand appropriate paperwork and procedures necessary to make transactions.

Requirements

• 2 years-experience in financial services and/or investment (insurance is considered as part of investment) industry experience.
• Holds Series 7 and 63/65 or 66 Registrations and State Insurance License or must obtain withing six months of hire.
• Bachelor’s degree in a business-related field is strongly preferred.
• Ability to prioritize and work either independently or as part of a team.
• Be comfortable exercising judgment, evaluating a situation and deciding.
• Detail oriented with strong organizational and client services skills.
• Excellent written and verbal communication skills.
• Prefers familiarity with Money Guide Pro and Albridge reporting as well as Broker Dealer’s trading platform. Understands and uses My Portfolio View and Build My Profile with clients.
• Possesses working knowledge of investment and insurance products and services offered.
• Possesses professional appearance, scheduling reliability, and ability to build and maintain a cooperative rapport with colleagues.
• Proficient with MS Office Suite, including Word, Excel, Outlook and Power Point.
• Self-starter with a passion for exploring the role investments and insurance play in “making life better” for our member-investors.

Physical Job Requirements

• Communicate information and ideas clearly for mutual understanding.
• Exchange accurate information effectively in various situations.
• Observe details at close range (within a few feet of the observer).
• Frequently remain in a stationary position.
• Occasionally move around the workspace.
• Frequently operate a computer and other office productivity machinery.
• Rarely ascend/descend a ladder.
• Occasionally position oneself to maintain files or other items.
• Rarely move items weighing up to 60 pounds across the office for various needs.
• Never work in outdoor weather conditions.
• Never operate a vehicle.
• Occasionally travel between worksites.

Compensation

$23.00 – 27.00/ hour

Eligible to earn incentives

Applicants must be authorized to work for ANY employer in the U.S.

We are unable to sponsor or take over sponsorship of an employment Visa at this time.

Equal Opportunity Employer/AA

Must be 18 or older to apply

Representatives are employed by Columbia Credit Union and registered through LPL Financial LLC (LPL), (Member FINRA/SIPC).

To learn more about LPL visit www.LPL.com