Investment Coordinator

Servicing Items

• Serve as a point of contact via phone and email queues for processing and servicing items.
• Manage and assign a strong pipeline of incoming referrals and advisor appointments.
• Identify process efficiencies and training opportunities for the CFFA team, including advisors.

Compliance

• Ensure compliance with FINRA, SEC, and broker/dealer rules and regulations.
• Maintain compliance standards set by the broker/dealer and credit union.

Processing New Member Accounts

• Oversight of the processing of new member account applications; service requests and trading instructions.
• Ensure requests and trades are handled in accordance with FINRA, SEC, and broker/dealer rules and regulations.

Qualifications

• Bachelor's degree in a related field and five years of related work experience; an equivalent combination of education and experience will be considered.
• Series 6 or 7 and 66 (63/65) or willing to obtain within specified time period.
• Life, Health and Variable Annuity insurance license or willing to obtained within specified time period.

Skills

• Strong relationship management and support skills, in a service environment targeted towards enhancing the member experience.
• Exceptional organizational skills, as well as the ability to perform multiple tasks and demonstrate strong performance in a fast paced environment while adhering to specific time frames.
• Advanced working knowledge of brokerage and insurance products, terms, functions, suitability and compliance aspects.
• Proficiency in Microsoft Word, Outlook and possess Excel experience with strong PC skills.
• Self-motivated with ability to work in a strong team environment, with minimal supervision.