Licensed Administrative Associate - Empeople Credit Union

SUMMARY:

The Licensed Administrative Associate provides support to ensure the efficiency and productivity of the Financial Advisor team and the Empeople Investment & Retirement Services program. The Licensed Administrative Associate will be responsible for front and back-office investment and insurance functions, enabling the advisors to focus on client, prospects, plan creation, and client retention reviews.

ESSENTIAL FUNCTIONS:

• Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
• Licensed to take trade orders from clients and submit trades into trade system and process to the broker/dealer. Completes daily processing of Broker Dealer and IRA business in a timely fashion.
• Manages and works all pending business. Responsible for following team service initiatives and follows-up with the client and the Financial Advisor when business is complete and final.
• Processes paperwork through clearing firm’s Client Onboarding process. Works with insurance broker/dealer or directly with financial institutions to run illustrations for brokerage, annuities, and life products. Completes paperwork and follows new accounts/new business through underwriting or broker/dealer back office to completion.
• Reviews all paperwork for accuracy and completeness before submission. Follows-up with rep, client, or home office to obtain necessary documentation to ensure low Not-In-Good-Order ratios.
• Processes investment deposits and fund transfers.
• Provide dedicated administrative support to financial advisors to facilitate effective management of client relationships
• Integrates the credit union philosophy and operating principles and diligently promotes the Empeople Investment & Retirement Services mission and vision statement into work habits, processes, and services.
• Schedules appointments with members, analyzes, sorts, and delivers incoming mail, provides telephone coverage, manages calendars, and keeps program materials well supplied and current.
• Prepares marketing lists for different campaigns while ensuring the marketing reports are correct and accurate; manages the campaigns for marketing/reporting purposes.
• Prepares reviews for client meetings by gathering performance reports, statements from outside firms, beneficiary arrangements and Empeople account information.
• Assists with coordinating incoming client referrals and assigns to Financial. Maintains prospect records and workflows in CRM and referral spreadsheet.
• Assists with client calls in a queue answering questions and servicing needs.
• Images and maintains electronic client files to meet compliance requirements.
• Utilizes broker/dealer and industry resources to manage client and account requests.
• Supports Financial Advisors in a team environment with client investment service including beneficiary changes, account transfers, contribution and distribution requests, online setup, Roth conversions, RMDs, trades, statement consolidation, appointment scheduling, and other account maintenance.
• Utilizes CRM for client information and maintains accuracy of the data within it. Communicates with the Financial Advisor through CRM regarding the client and/or accounts.
• Understands and complies with trade compliance, new business, and advertising compliance ensuring proper regulations are maintained.
• Provides back up for the IRA & HSA Manager, processing credit union IRA & HSA transactions including RMDs, contributions and rollovers.
• Continually seek out and implement efficiencies and service/process improvements. Exercise strong problem solving and decision making skills.
• Exemplify the Empeople Core Values - We Care, We Serve, We Teach, We Learn - and Service Commitment in everyday activities.

ADDITIONAL RESPONSIBILITIES:

Please note this job description is not designed to cover or contain a comprehensive listing of activities, duties, or responsibilities that are required of the employee for this job. Duties, responsibilities, and activities may change at any time with or without notice.

QUALIFICATIONS:

Knowledge Of:

• Consumer financial health needs
• Brokerage and insurance products, terms, functions, suitability, and compliance aspects

Ability To:

• Manage a varying range of duties and responsibilities.
• Accept and implement coaching/feedback.
• Apply mathematical concepts such as logic, decimals, computation, logic, statistics, and analysis.
• Use reasoning ability to define problems, collect data, establish facts, and draw valid conclusions.
• Network and make presentations in and to both small and large groups.
• Explain the Empeople value proposition.
• Recognize and recommend to leadership opportunities to improve employee and member experiences.
• Operate software for sales and service delivery including CRM systems.

REQUIRED EDUCATION AND EXPERIENCE:

• Bachelor’s degree in Finance or equivalent experience plus two years of related experience with proven organizational, marketing, and time management skills.
• License or Certification:

NASD Series 7, 63, & 65/66 (working towards)

Life & Health Licenses (working towards)

Bondable

Acceptable Credit History

Compensation & Benefits:

• Salary Range: $55,700-$83,500
• Health, Dental & Vision Benefits
• Bonus opportunity
• 401(k) with match and profit sharing
• Flexible Time Off

Empeople Credit Union is an Affirmative Action Employer. EEOC/EOE/M/F/Vet/Disabled

EMPLOYMENT AT WILL

Empeople Credit Union employment is at will. Employees may resign from Empeople Credit Union as they

choose. Similarly, Empeople Credit Union may terminate an employee at any time, with or without notice or

cause. Nothing in this Handbook or any other manual or policy adopted by Empeople Credit Union in any way

alters the at-will nature of employment at Empeople Credit Union.

False statements or material omissions in the Application for Employment will be grounds for immediate

termination