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Investment Services Sales Assistant

bay federal job
(Bay Federal Credit Union)

LOCATION: Capitola, CA

JOB TYPE: Regular Full-Time

JOB SUMMARY: The Investment Services Sales Assistant provides support and coordination for the Investment Services Team for all activities related to member service, data collection and reporting, processing paperwork and coordination of business development activities. They will actively participate in financial planning and Investment Services team projects.

ESSENTIAL DUTIES & RESPONSIBILITIES: Include the following; other duties may be assigned:

  • Promotes and maintains a positive image of Bay Federal at all times to all personnel, members, volunteers, vendors and the community.
  • Sets up and maintains files with appropriate information and in accordance with FINRA compliance standards.
  • Handles routine client inquiries and support; effectively works with back-office support personnel, wholesalers, and brokers/dealer back office to ensure a high degree of quality service and member satisfaction.
  • Contacts members, schedules appointments and provides post appointment follow up.
  • Enters financial data into planning software and client information into database, and may assume the Financial Planner’s role, if directed.
  • Generates routine reports regarding sales results, reports to the senior leadership team, client list to Marketing, and referral reports to Payroll.
  • Coordinates activities with LPL Financial and other entities to ensure appropriate compliance with regulatory requirements.
  • Coordinates and assists in seminars, and engages in other marketing activities to promote Investment Services to Bay Federal membership.
  • Participates in New Hire Orientation, branch trainings, referral contests, and works with Marketing on external promotion ideas.

QUALIFICATIONS: To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

Language Skills:

  • Strong ability to communicate professionally and successfully with clients.
  • Ability to read and interpret documents such as Policy and Procedure documents, safety rules, operating and maintenance instructions, and procedure manuals.
  • Strong ability to write both routine and high-level reports and correspondence.
  • Strong ability to speak effectively before groups, members, and employees.

Mathematical Skills:

  • Strong ability to add, subtract, multiply, and divide in all units of measure, using whole numbers, common fractions, and decimals.
  • Strong ability to compute rate, ratio, and percent.
  • Strong ability to read, interpret, and create complex financial data and reports.

Physical Demands:

  • While performing the duties of this job, the employee is regularly required to stand, talk or hear.
  • The employee frequently is required to walk; sit; use hands and reach with hands and arms.
  • Must have the manual dexterity to skillfully operate a computer keyboard and other standard office equipment, such as facsimile and telephone.
  • The employee must occasionally lift and/or move up to 30 pounds.
  • Corrected vision in normal range.

Education and/or Experience:

  • Bachelor’s Degree in Business or Finance or the equivalent experience is preferred.
  • Minimum of 3 years experience in financial planning.
  • Proficient in Microsoft Suite programs.
  • Demonstrated ability to make strong decisions and proactively solve problems; strong organizational skills.

Certification/License Requirements:

  • Insurance license is required.
  • Series 6 + 63 is required.
  • Bay Federal will provide the opportunity to achieve the above license and certifications if needed.

Important Disclaimer Notice: The job duties, elements, responsibilities, skills, functions, experience, educational factors and the requirements and conditions listed in this job description are representative only and not exhaustive of the tasks that an employee may be required to perform. Bay Federal Credit Union reserves the right to revise this job description at any time and to require employees to perform other tasks as circumstances or conditions of its business, competitive considerations, or work environment change.

HOW TO APPLY: If interested, please submit an online application here.