Investment Representative

Nature and Scope

Reports to the SVP, Landmark Investment Center. Assists in providing investment products and services to Landmark Credit Union members and prospective members. Supports client relationship development by conducting client meetings, gathering financial information, preparing recommendations and financial plans, and responding to client inquiries. Collaborates with credit union staff, fund and insurance companies, and LPL Financial to service client accounts, process transactions, and support the delivery of investment solutions under the guidance of senior advisors.

Requirements

• High school diploma or equivalent
• Minimum of one year experience as a registered representative and be approved to operate as a registered representative of a broker/dealer affiliated with Landmark Credit Union
• Must adhere to the policies and procedures of that broker/dealer when working with any securities products
• Must hold a WI Life Insurance License
• Must hold FINRA series 6 or 7 and 66 (or 63 & 65) Securities Licenses
• Experience or ability to gain proficiency in all programs and systems used for this job
• Excellent verbal and written communication skills
• Problem solving skills
• Organizational skills and the ability to work independently
• Must develop a thorough understanding of company policies and procedures as they relate to the position
• Must comply with all company policies and procedures and job-related state and federal laws and regulations

Principal Accountabilities

• Develops and maintains client relationships by conducting initial and ongoing review meetings to assess financial goals, risk tolerance, time horizon, and investment needs
• Provides investment and financial planning services by preparing financial plans, investment recommendations, applications, proposals, and related documentation
• Manages client accounts and transactions by processing securities trades, monitoring account activity and statements, and conducting account research with fund companies, insurance carriers, and broker-dealer partners
• Delivers responsive client service by handling client inquiries, preparing correspondence, coordinating mailings, and serving as a liaison between clients and external partners
• Maintains accurate client records by documenting client interactions and updating client information within contact management and recordkeeping systems
• Prepares for and conducts client reviews by analyzing account performance and creating materials to support client review meetings
• Promotes financial education and awareness by presenting at new hire training sessions and facilitating investment-related educational seminars
• Performs other duties as assigned