Licensed Sales Assistant
|Jan. 04, 2016 - Dec. 21, 2018|
|Salary Range:||$14.20 - $17.70 Hourly |
|Department:||Elevations Credit Union|
|Description:||Position Summary: Serves as administrative support for the Investment Group in an effort to increase productivity or registered representative and overall program. The Financial Planning Assistant is a senior level sales assistant with a general securities license (Series 7) who has solid working experience in the financial services industry. Works directly with a CFS/PSF Registered Representative to help increase productivity, and perform tasks of a clerical nature; takes incoming calls from clients; handles the paperwork for new accounts; enters customer provided information into a form or database system; maintains an FINRA Compliant filing system with all records that are generated when stocks, blonds, and other types of investments are traded; sets appointments for Representatives either in person or over the telephone; puts members in telephone contact with the Representative; answers customer questions and describes investment products and services; advises customers as to the status of orders or report trade prices to customers; hands out specific product information, researches information or any other such information pertaining to securities transactions that a customer wishes to perform. |
• Supports the production of the CFS/SPF Registered Representative by setting appointments for CFS/SPF Registered Representative answering customers questions and describing investment products and services, as well as performing tasks of a clerical and/or administrative nature
• Provides the customer with specific product information, research information or any other such information pertaining to securities transactions in which the customer wishes to perform, or is considering performing, through CFS/SPF
• Advises customers as to the status of orders or report trade prices to customers
• Maintains an FINRA Compliant filing system with all records that are generated when stocks, bonds, and other types of investments are traded
• Handles customer funds and securities, including electronic fund transfers or journals from a customer’s self-advisory account.
• Communicates with customers in a positive manner both in person and/or by telephone.
• Practices high quality service standards in all interactions with customers, prospective customers and personnel in other departments within the credit union
• Demonstrates an understanding that the credit union makes financial planning and investments through CFS/SPF.
|Qualifications:||Education Requirements: |
• High School Diploma or equivalent is required, degree in related field helpful
• FINRA Series 7 and Series 66 or 65 preferred. If not currently held, must obtain within 90 days of hire.
• State Life and Health Insurance License preferred. If not currently held, must obtain within 90 days of hire.
Knowledge, Experience and Skill Requirements:
• Two years’ experience in the financial industry preferred.
Required Competencies: Quality Orientation, Work Standards, Decision Making, Applied Learning, Sustaining Customer Satisfaction, Building Trusting Relationships, Planning and Organizing, Managing Work (includes Time Management), Contributing to Team Success
This Job Description is not a complete statement of all duties and responsibilities of this position and may change with or without notice.
Candidates for certain positions may be required to submit to a credit history report in determining qualification for employment with Elevations Credit Union. If the position you are applying for requires a credit history report, any information received in such report will be not be the sole factor in making an employment decision. A history of personal financial irresponsibility may be reason for disqualification insofar as it relates to your potential job duties. Elevations Credit Union is aware that occasionally there are extenuating circumstances that may affect an individual's credit history. We comply with the Fair Credit Reporting Act and the Colorado Employment Opportunity Act.
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