Wealth Management Sales Assistant-SECU Financial Partners

SECU is seeking a Wealth Management Sales Assistant to provide support to a team of Financial Advisors in building a robust book of business. Assist the Advisors with all aspects of client acquisition, servicing and client retention. Exhibit utmost discretion in working with sensitive and confidential information. Exhibits full ownership of actions by delivering on promises while adhering to broker dealer compliance requirements. Act in the client’s best Interest always. Extend elevated standards of care to both internal and external clients and always uphold uncompromised integrity and ethical behavior. Establish rapport with clients on their journey to accomplish financial goals. Collaborate with internal stakeholders in building and nurturing the wealth management division. Provide specialized care in assisting clients with all walks of life with a variety of financial needs. Exercise care and diligence with clients’ financial assets and cultivate meaningful rapport by partnering with clients on their journey to financial empowerment.

A Day In Your Life Might Include

• Partner with Financial Advisors in establishing a variety of client Accounts: Advisory, Direct Business, Brokerage etc.
• Preparation of client paperwork, advisory performance reports and record keeping of all documentation
• Deliver exemplary Customer Service in all interaction with internal and external clients
• Correspond with clients in completion of new account documents, asset transfers, transactions and aid with technology navigation
• Process client money movement transactions by utilizing tools such as ACAT, ACH, Checks, Wires, RMD and periodic transactions
• Maintenance of client accounts: account conversions, address/phone # changes, process statement requests, update suitability and portfolio selections etc.
• Utilize Broker Dealer Service channels to finalize account documentation, asset transfers, networking assets, answer client queries, complex Retirement Plan transactions etc.
• Collaborate with Investment firms, State Retirement Plan providers, Insurance carriers and Internal partners in processing client Retirement Plan Rollovers and Account Transfers
• Assist Advisors fulfill compliance requirements: Form CRS Delivery, Check Deposit Logs, Rollover Rationale Logs, Non-Electronic Correspondences, Annual Review Logs, Non-Cash Compensation Logs etc.
• Schedule and manage client appointments for Annual Financial Review for the advisors’ books of business
• Upload and maintain client demographic data on Marketing Platforms for marketing campaigns and client retention
• Provide daily and weekly digests of client onboarding and follow ups for advisor team and upper management
• Schedule appointments, manage calendars, handle mail/FedEx and e-mails to and from clients and help manage the book of business for the Financial Advisors.
• Engage in Broker Dealer platform to review and take appropriate actions on client account alerts
• Perform administrative duties that support financial advisors in daily business practices including but not limited to telephone coverage, coordination of client meetings, and file & calendar maintenance.
• This is not meant to be an exhaustive list of responsibilities. Other duties will be required.
  
  

What We Need From You

• High School diploma or equivalent required, bachelor’s degree preferred or an equivalent combination of skills, training and experience
• Active FINRA Series 6 and Series 63/65 or Series 66. Life and Health Insurance Licenses
• Minimum of 3 years’ experience in a financial services, support, sales and admin capacity
• Working knowledge of Investment products and platforms
• High Level proficiency in MS Word, Excel, PowerPoint and Outlook required
  
  

Compensation Information: Offers will be commensurate with experience and education. We typically hire at or below the mid-point, which is $38.41 per hour.

• Hourly Rate: Min. $29.57 – Max. $47.26
  
  

Other Compensation Includes

• Annual corporate-wide incentives
  
  

We provide comprehensive benefits, with a focus on total well-being:

• Medical, vision, dental benefits
• 401k plan with company matching
• Generous sick, vacation and personal leave
• And more...2025 SECU Benefit Guide
  
  

SECU is committed to fostering a diverse, equitable, and inclusive workforce where all individuals are valued and respected. We take pride in providing equal opportunities for all qualified applicants regardless of race, ethnicity, national origin, gender, sexual orientation, gender identity or expression, religion, military or veteran status, or any other characteristics protected by law.