Investment Services - Member Investment Services Client Associate

Mission Fed•San Diego, CA

4d•$27 - $33•Onsite

About The Position

This is an exciting opportunity to join Mission Fed’s Member Investment Services team as an unlicensed associate, where you’ll learn about the Securities industry at a high level, in a fun and supportive atmosphere. With this foot in the door, you’ll interact with key players such as clients, experienced advisors (who love to teach and answer questions), our broker-dealer, insurance carriers, and other industry professionals. As you might imagine, this role requires superb attention to detail, lots of discretionary effort, and a willingness to constantly be learning. If this sounds interesting to you, below are a few more details. Provides efficient and effective support to investment clients in partnership with Financial Advisor(s). Facilitates new account opening and complex investment transactions with broker/dealer and direct business companies on clients’ behalf. Works collaboratively with Advisors and various departments of the broker/ dealer, direct mutual fund companies, insurance carriers, and other financial professionals to resolve client requests and issues on behalf of the Investment Services team and Advisors. Resolves account-related inquiries including cash requests, interpreting statements and transaction confirmations, and balance/position verifications; allowing Advisors to maximize their productivity. Participates in client meetings as an operational expert as needed. Mitigates reputational and financial risk to the credit union and individually licensed Advisors by following established workflows and procedures for onboarding and servicing of Advisors’ books of business, while maintaining highest levels of integrity and quality control. Takes initiative in finding innovative solutions to resolve account matters and sensitive client interactions. Supports Financial Advisors with credit union staff referral management, including tracking, scheduling, and confirming appointments. Collaborates with Advisors in providing feedback and citing opportunities for referral coaching. Provides accurate and regular reporting to Operations Supervisor to help Advisors stay on track with their Prudent Process obligations, custodial fee collections, required minimum distributions, supervisory alerts, and other regulatory requirements, as needed. Maintains a steadfast focus on production by proactively and consistently tracking non-invested cash, and alerting Advisors of potential investment opportunities. Actively engages in available training and education programs offered through Mission Fed and broker/ dealer, including professional development, staying current on policies and procedures and new technology. Maintains in-depth knowledge of and comply with all Mission Fed, departmental and security policies and procedures, as well as federal regulations applicable to the position, including BSA and FINRA requirements. Complete all required compliance training as assigned. Performs other duties as assigned.

Requirements

Associate’s degree or equivalent is required. Two years of equivalent experience may substitute for every one year of education.
A minimum of 4 years of experience in financial services, including experience with retirement accounts and financial planning is required.
Must have a current Driver's License in good standing as driving is a requirement of this position.

Nice To Haves

Series 6 or SIE are preferred.

Responsibilities

Provides efficient and effective support to investment clients in partnership with Financial Advisor(s).
Facilitates new account opening and complex investment transactions with broker/dealer and direct business companies on clients’ behalf.
Works collaboratively with Advisors and various departments of the broker/ dealer, direct mutual fund companies, insurance carriers, and other financial professionals to resolve client requests and issues on behalf of the Investment Services team and Advisors.
Resolves account-related inquiries including cash requests, interpreting statements and transaction confirmations, and balance/position verifications; allowing Advisors to maximize their productivity.
Participates in client meetings as an operational expert as needed.
Mitigates reputational and financial risk to the credit union and individually licensed Advisors by following established workflows and procedures for onboarding and servicing of Advisors’ books of business, while maintaining highest levels of integrity and quality control.
Takes initiative in finding innovative solutions to resolve account matters and sensitive client interactions.
Supports Financial Advisors with credit union staff referral management, including tracking, scheduling, and confirming appointments.
Collaborates with Advisors in providing feedback and citing opportunities for referral coaching.
Provides accurate and regular reporting to Operations Supervisor to help Advisors stay on track with their Prudent Process obligations, custodial fee collections, required minimum distributions, supervisory alerts, and other regulatory requirements, as needed.
Maintains a steadfast focus on production by proactively and consistently tracking non-invested cash, and alerting Advisors of potential investment opportunities.
Actively engages in available training and education programs offered through Mission Fed and broker/ dealer, including professional development, staying current on policies and procedures and new technology.
Maintains in-depth knowledge of and comply with all Mission Fed, departmental and security policies and procedures, as well as federal regulations applicable to the position, including BSA and FINRA requirements.
Complete all required compliance training as assigned.
Performs other duties as assigned.