Senior Investment Specialist

Essential Responsibilities

• Projects, Proposals, Education, and Managing Business Relationships
• Create research reports and meet with investment professionals to develop relationships and explore new product opportunities.
• Create proposals for Board and Investment Committee review and approval covering new product recommendations and revenue stream opportunities.
• Create and manage training programs for FAS Specialists and back office employees when new products and services are implemented.
• Create and distribute reference and education materials to retail FAS specialists that help develop and sustain member relationships.
• Act as a subject matter expert (SME) on investment operations for SECU’s FAS team.
• Trade Execution and Approval
• Execute and approve equity, fixed income, and mutual fund trades received from FAS Specialists and members.
• Produce and review monthly investment statistics and provide actionable insights to management to improve FAS retail success and member loyalty.
• FAS Specialist/Member Interaction & Investment Account Management
• Field phone calls, e-mails and instant messages from all FAS specialists across the retail network as well as from members that call in directly to Investment Services.
• Supervise new and existing investment business.
• Manage daily money activity and account billing.
• Work with clearing custodian and other investment vendors to ensure quality service.
• Ensures that all security recommendations are appropriate for a member’s risk profile and time horizon.
• Compliance and Due Diligence
• Work closely with Compliance team to develop policies and procedures for effective retail supervision.
• Resolve trade errors and operational challenges promptly and efficiently.
• Ensure compliance with all policies and procedures, as well as securities rules and regulations.
• Aid in Vendor Due Diligence.

Required Education & Experience

• Bachelor’s degree, preferably in a financial related field.
• 5+ years of relevant experience.
• Series 7/66 licenses required or must be obtained within three months of hire.
• Series 24 required or must be obtained within six months of hire.
• Strong multi-tasking capability.
• Ability to lead and supervise projects.
• Ability to meet deadlines.