What are the responsibilities and job description for the Investment Coordinator position at UFCU?
Job Summary
As a key member of the Investment Services team, the Investment Coordinator supports the Financial Advisor(s) and helps cultivate member relationships. The person in this position provides essential support by coordinating all client service and business development activities, such as responding to investment client inquiries and requests, scheduling appointments, and executing a variety of financial projects. As a licensed financial professional, the Investment Coordinator assists in processing paperwork necessary for regulatory compliance. This position is expected to work from the UFCU Plaza location approximately 50% of the time. In addition to a base salary, this position is eligible for commission-based compensation.
The investment coordinator is motivated by providing financial health support to members within the community. This person gains personal satisfaction from helping people make critically important, lifelong decisions about their overall financial health. With an end goal of having a meaningful, high-quality, lengthy retirement without financial worry.
About UFCU
Our Credit Union was chartered in 1936 and has grown to serve members throughout Texas and beyond. At UFCU, we are more than just a financial institution, and our people are more than just employees. We are dedicated to serving our Members, empowering their financial success, and building financially healthy communities.
Our aspiration is to be loved by millions of members and built to thrive for generations. Our employees are not only part of our team but also Members themselves. They are innovative, agile, and Member-obsessed leaders who strive to be the best and always do the right thing. We offer a competitive compensation and benefits package to support our employees and their loved ones, reflecting the fact that our people are at the center of everything we do.
UFCU fosters a collaborative, diverse, and inclusive environment that fosters innovation, performance excellence, and career growth. If you’re looking for a challenging, purpose-driven career that makes a difference in our communities, UFCU is the place for U. Join us and work with purpose.
Essential Functions
Minimum Requirements
Physical Demands
The physical demands described here are representative of those that must be met by an employee in order to successfully perform the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
The work environment characteristics described here are representative of those an employee encounters while performing the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
As a key member of the Investment Services team, the Investment Coordinator supports the Financial Advisor(s) and helps cultivate member relationships. The person in this position provides essential support by coordinating all client service and business development activities, such as responding to investment client inquiries and requests, scheduling appointments, and executing a variety of financial projects. As a licensed financial professional, the Investment Coordinator assists in processing paperwork necessary for regulatory compliance. This position is expected to work from the UFCU Plaza location approximately 50% of the time. In addition to a base salary, this position is eligible for commission-based compensation.
The investment coordinator is motivated by providing financial health support to members within the community. This person gains personal satisfaction from helping people make critically important, lifelong decisions about their overall financial health. With an end goal of having a meaningful, high-quality, lengthy retirement without financial worry.
About UFCU
Our Credit Union was chartered in 1936 and has grown to serve members throughout Texas and beyond. At UFCU, we are more than just a financial institution, and our people are more than just employees. We are dedicated to serving our Members, empowering their financial success, and building financially healthy communities.
Our aspiration is to be loved by millions of members and built to thrive for generations. Our employees are not only part of our team but also Members themselves. They are innovative, agile, and Member-obsessed leaders who strive to be the best and always do the right thing. We offer a competitive compensation and benefits package to support our employees and their loved ones, reflecting the fact that our people are at the center of everything we do.
UFCU fosters a collaborative, diverse, and inclusive environment that fosters innovation, performance excellence, and career growth. If you’re looking for a challenging, purpose-driven career that makes a difference in our communities, UFCU is the place for U. Join us and work with purpose.
Essential Functions
- Demonstrates accountability and takes ownership in daily work by assuming responsibility and consistently taking action that supports the success of the Financial Advisor.
- Ensures Financial Advisors’ calendars are filled with appointments and provides technical support to the Investment group to help maximize operational efficiency.
- Provides comprehensive support for the Financial Advisor including trading, marketing, relationship building and effectively managing all essential administrative tasks.
- Consistently provides excellent member service by responding to all inquiries in a timely manner and immediately resolving issues by identifying goals and establishing priorities.
- Builds and maintains excellent relationships with employees by UFCU-sponsored employee events, and providing coaching, advice and general information about investments products and services.
- Maintains all required licensing and meets continuing education requirements on an annual basis.
- Performs other duties as assigned.
- Adheres to all company policies, procedures and business ethics codes.
- Completes required regulatory Training as assigned.
- Maintains strict adherence and compliance to all laws, rules, regulations and internal controls specific to the role, including but not limited to the Bank Secrecy Act and regulations (Anti-Money Laundering rules), Patriot Act, Office of Foreign Assets Control regulations, and Fair Lending regulations.
- Experience at opening accounts, maintenance, trading and transactions to support the Financial Advisor role.
- Ability and proficiency at developing work-flow processes to ensure an excellent member/client experience.
- Implements a client onboarding experience for new clients that includes a comprehensive process utilizing appropriate tools for discovery, risk assessment and planning where one would identify strengths and opportunities.
- Manages, maintains and retains existing clients through enhanced service experience.
- Utilizes CRM to maximize client experience, efficiency and engagement.
- Ensure communication is priority for overall client experience with a focus on communication preferences and protocol.
- Proficient in Microsoft Office (Word, Outlook, Excel, Customer Relations Management software).
- The ability to work in a team environment where tasks and deliverables are assigned and completed with minimal supervision.
- Must be bondable.
- Demonstrating Member Obsession
- Puts themselves in the Member’s shoes
- Looks for friction points
- Makes it personalized and easy
- Demonstrating Performance Excellence
- Sets standards for elevating excellence
- Ensures elevated quality
- Takes responsibility
- Conducts continuous improvement
- Demonstrating Innovation
- Challenges current thinking
- Approaches change with a positive mindset
Minimum Requirements
- Texas Life, Accident, and Health Insurance license.
- Minimum of three (3) years of experience in a related field.
- Credit union, financial institution, or investment firm experience.
- Minimum of one (1) year administrative or clerical experience
- Strong written and oral communications skills.
- Strong organizational and project coordination skills.
- Bachelor’s degree in a related field.
- FINRA Series 7 and either 63, 65, or 66 Series licenses (i.e., 7, 63 & 65, or 7 & 66).
Physical Demands
The physical demands described here are representative of those that must be met by an employee in order to successfully perform the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
- While performing the duties of this job, the employee is regularly required to sit; use hands to finger, handle or feel; reach with hands and arms; and talk or hear.
- Specific vision abilities required by this job include close vision, distance vision, peripheral vision and ability to adjust focus.
- The employee is frequently required to stand and walk.
- Employee will make extensive use of the telephone requiring the ability to effectively and accurately explain complex information.
The work environment characteristics described here are representative of those an employee encounters while performing the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
- This position is expected to work from the UFCU Plaza 50% of the time and would work from home 50% of the time (hybrid work opportunity).
- May occasionally require an adjusted work schedule, overtime, and evening/weekend hours.
- Public contact position, requiring appropriate professional appearance.
- Frequent computer use at a workstation up to two hours at a time.
- The noise level in the work environment is usually moderate.
