Licensed Sales Assistant

Nov. 29, 2016 - Dec. 31, 2019
Location:Boulder, CO
Salary Range:DOE
Type:Full Time
Department:Elevations Credit Union
Description:
Function Description: A senior level sales assistant who has solid working experience in the financial services industry, who works directly with a CFS/SPF Registered Representative to help increase productivity, and who performs tasks of a clerical nature; takes in-coming calls from clients; handles the paperwork for new accounts; enters customer provided information into a form or database system; maintains a FINRA Compliant filing system with all records that are generated when stocks, bonds, 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 describe investment products and services; advises customers as to the status of orders or report trade prices to customers; hand out specific product information, research information or any other such information pertaining to securities transactions a customer wishes to perform, or is considering performing, through CFS; and, render clerical or administerial services to the CFS/SPF Registered Representative. Adheres to all Federal and State laws and regulations governing applicable to the Credit Union, including the Bank Secrecy Act.

Organizational Relationships Dual Reports: CFS/SPF Registered Representative Program Manager

Contacts: Financial Institution clients, and other departments, CFS/SPF internal Departments.

Qualifications/Requirements/Education:
•Licenses and Registrations: FINRA Series 7, 63 and 65 (or 7 and 66) and Life, Accident, Health & Variable Insurance licenses preferred
•Clean U-4
•3-5 years' licensed registered representative sales experience, preferably within a bank or credit union, preferred
•Customer service, communication and presentation skills
•An advanced level of performance, requiring minimum supervision
•College Degree preferred

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.


•Equal Opportunity Employer/Protected Veterans/Individuals with Disabilities.
•Please view Equal Employment Opportunity Posters provided by OFCCP here.
•The contractor will not discharge or in any other manner discriminate against employees or applicants because they have inquired about, discussed, or disclosed their own pay or the pay of another employee or applicant. However, employees who have access to the compensation information of other employees or applicants as a part of their essential job functions cannot disclose the pay of other employees or applicants to individuals who do not otherwise have access to compensation information, unless the disclosure is (a) in response to a formal complaint or charge, (b) in furtherance of an investigation, proceeding, hearing, or action, including an investigation conducted by the employer, or (c) consistent with the contractor's legal duty to furnish information.

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