Improve efficiency and productivity of existing Advisor Representatives by providing support for the Ascend Retirement & Investment Services Program (ARISe). Build positive relationships with members and credit union employees to expand the ARISe program.
Assist ARISe Rep with client servicing (address changes, questions on accounts, account changes). Screen calls for ARISe Rep to handle client questions and servicing issues Sales Assistant is qualified to handle. Be a second source for clients.
Complete mutual fund trade tickets, place trades, and monitor for settlement.
Process paperwork for annuities and life products.
Review all submitted paperwork for accuracy and completeness before submission. Follow up with ARISe Rep, client, or home office to obtain necessary documentation.
Set up brokerage accounts and monitor trade activity for accuracy.
Establish and maintain client files to meet compliance requirements.
Assist in marketing mailings, branch promotions, and seminars.
Run illustrations, assist in fund performance research, and prepare client presentations for ARISe Rep.
Monitor ARISe Rep's office for any marketing material, office supply, or compliance material needs.
Present and train staff at branch meetings.
Maintain ongoing knowledge of credit union products and services in order to effectively cross sell to members when appropriate. Uphold the ability to establish and modify certificates, IRAs, HSAs, and ESAs on the Ascend Core System.
Stay current with continuing education requirements to meet licensing and compliance standards and any other required training through CUNA Brokerage Services.
Read all internal publications including Source and Possibilities.
Two year degree in finance/accounting or similar field preferred or equivalent experience. Three to five years of similar or related experience.
Must obtain NASD Series 7 and 66 registration and state life, health and disability license.
Working knowledge of brokerage and insurance products, terms, functions, suitability and compliance aspects desired.
High degree of poise and tact to represent the credit union positively in contact with members, outside vendors, co-workers, etc.
Working knowledge of Microsoft Word, Microsoft Outlook, Excel, Investigo, PowerPoint, the internet, and various RIS software applications desired.
Must be an accurate typist and have the ability to organize and prioritize work with minimum direction.
Self motivated and able to work with minimum supervision.
Ability to perform multiple tasks while maintaining good organizational skills.
Ability to work under pressure and within time frames.
Regular and reliable attendance is required.
Possession of a valid, unrestricted driver’s license.
Must have ability to operate or have ability to be trained to operate related office equipment, including calculator, computer terminal (PC), multifunction copier, receipt and check printer, telephone and typewriter.