Licensed Sales Assistant

Navigator Credit Union is currently recruiting for a full time Licensed Sales Assistant. If you have a passion for exceptional service, relationship building, and want to be a part of a team that focuses on creating substantial value in the communities we serve, while exceeding goals, we want to hear from you! We encourage all interested, qualified candidates that enjoy working in a fast paced environment to apply. We provide paid vacation after 90 days, paid holidays, 401k with a company match, medical, referral bonus, and several other benefits after 30 days employment for our team members including incentive opportunities. Navigator Credit Union is an Equal Opportunity Employer. Navigator does not discriminate on the basis of race, religion, color, sex, gender identity, sexual orientation, age, non-disqualifying physical or mental disability, national origin, veteran status or any other basis covered by appropriate law. 

ROLE:

Serve as an integral part of the NCUWM program, building and maintaining relationships with clients, prospects, employees & vendors. Provide support, consistent with Navigator’s strategic vision to achieve NCU Wealth Management goals that will lead to client and assets under management growth. Responsible for assigned duties with regard to NCU Wealth Management sales, support, compliance, documentation and events. Reports to the Investment Services Coordinator.

DESCRIPTION OF DUTIES:

• Set up brokerage accounts and monitor trade activity for accuracy; establish and maintain member files to meet compliance requirements. Grow business with referrals, marketing events, employee education and lobby days. Improve efficiency and productivity of existing CUNA Brokerage Services Representative and answering follow-up questions office to obtain necessary documentation.

• Serve as a second source for members (complete mutual fund trade tickets, place trades; monitor settlements; process paperwork for annuities and life insurance products. Review all submitted paperwork for accuracy and completeness before submission; follow up with representative, member or home office. Assist with Marketing mailings, branch promotions and seminars. Grow business with referrals, marketing events, employee education and lobby days. Meet with all newly hired Navigator employees to discuss NCUWM.

• Run illustrations, assist in fund performance research and prepare member presentations for Representative. Maintain client accounts such as address and account changes, trade executions. Evaluate client calls and respond when appropriate or refer to Rep if needed. Monitor Rep’s office for marketing, office and compliance materials. Order retirement packets.

• Must comply with applicable laws and regulations, including, but not limited to, the Bank Secrecy Act, the Patriot Act and the Office of Foreign Assets Control. Create and maintain complete and accurate files for NASD and FDIC audits. Assist the advisor in maintaining compliance requirements of the broker dealer and regulators. Adhere to all FINRA, CUNA Brokerage compliance guidelines and credit union policies. Attain necessary training and licensing at state level and FINRA level.

• Complete all training necessary proficiently utilize Advisor Workspace and Salesforce. Complete CML Training. Research and identify opportunities to improve NCUWM through educational and enrichment programs that bring value to the organization and increase job knowledge. Complete CML Training. Maintain current knowledge of Navigator products including CDs and IRAs. Prepare presentations, branch schedules and materials for employee training and contests.

• Submit weekly/monthly reports to Coordinator. Complete all regulatory reporting in a timely manner.

• Provide support for all client events. Assist with set up for seminars. Prepare Orientation kits. Assist RMSR when needed.

EXPERIENCE:

• Two to five years of similar or related experience, including time spent in preparatory positions.

EDUCATION:  

• Two-year college degree is required.
• NASD Series 6, 66,  and Life Insurance Licenses Required with Series 7 Preferred.

SPECIFIC SKILLS:

• Proficient in Salesforce CRM, Microsoft Word, PowerPoint, Excel and Office.
• Ability to comprehend high-level mathematical concepts such as making long-term projections using assumed rates of return and present value/future value calculations.
• Ability to learn advanced IRS tax law rules and general understanding of accounting procedures as they relate to investments.

ADA REQUIREMENTS:

PHYSICAL REQUIREMENTS:

Perform primarily sedentary work with limited physical exertion and occasional lifting of up to 5 lbs. Must be capable of climbing/descending stairs in emergency situation. Must be able to operate routine office equipment including telephone, copier, facsimile, and calculator. Must be able to routinely perform work on computer for an average of 6-8 hours per day. Must be able to work extended hours whenever required or requested by management. Must by capable of regular, reliable and timely attendance.

WORKING CONDITIONS:

• Must be able to routinely perform work indoors in climate-controlled shared work area with moderate noise.

MENTAL REQUIREMENTS:

• Must be able to perform job functions with supervision and work effectively either on own or as part of a team. Must be able to read and carry out various instructions and follow oral instructions. Must be able to speak clearly and deliver information in a logical and understandable sequence. Must be able to perform basic mathematical calculations with extreme accuracy. Must be capable of dealing calmly and professionally with numerous different personalities from diverse cultures at various levels within and outside of the organization and demonstrate highest levels of customer service and discretion when dealing with the public. Must be able to perform responsibilities with composure under the stress of deadlines/requirements for extreme accuracy and quality and/or fast pace. Must be able to effectively handle multiple, simultaneous, and changing priorities. Must be capable of exercising highest level of discretion on confidential matters.