Wealth Advisor Assistant

Description

Title: Wealth Advisor Assistant

Department: CUSO

Reports to: Wealth Advisor

FLSA: Non-Exempt

Job Grade: 10

Job Purpose: Provides executive level support to wealth advisor by coordinating and conducting client service activities for Wealth Advisor and Investment Program. Position performs a variety of client servicing activities in an effort to increase the investment programs growth and wealth advisors book of business.

Essential Job Results:

JOB SPECIFIC RESULTS

1. Follows up on any appointment leads (website, seminars, etc.); calls clients and prospects, and makes appointments for the Wealth Advisor. Prospects for clients on a referral basis within clearly defined markets as directed by the Wealth Advisor.
2. Responsible for ongoing report preparation for client reviews.
3. Engages with financial institution staff to enhance the business relationship and create referral activity at the direction of the Registered Wealth Advisor or Advisor Development Manager. Supports Wealth Advisor with branch meetings and training initiatives, including providing ongoing training to existing and new staff of the financial institution. Assists Wealth Advisor with Back to Rep administrative items.
4. Prospects for clients on a referral basis within clearly defined markets as directed by the Wealth Advisor and Advisor Development Manager
5. Performs administrative duties for Wealth Advisor, which may include monitoring assigned Wealth Advisors emails and voicemails for follow up items and maintaining calendar for Wealth Advisor.
6. Works with compliance to administer and track any advertising approvals as needed.
7. Manages scheduling, planning and tracking of attendees for seminars and workshops.
8. Follows up with attendees and RSVPs from events, including seminars, workshops, client appreciation events, etc.
9. Develops and maintains long-term relationships with clients for both themselves and the greater Wealth Advisors team
10. Listens effectively and empathetically to Wealth Advisor, credit union staff, prospects, and clients; gathering facts, making written notes when appropriate, and analyzing total needs of the member, prospect, client, or Wealth Advisor, or staff.
11. Works closely with other administrative personnel and assistants to build program.
12. May be required to work to objectively measured goals or activities; such as a required number of appointments per week, number of outbound calls on leads, or a specific workflow process for a task (such as the coordination of events)
13. Supports Credit Union Mission and Corporate Values
14. Other projects and duties may be assigned.

GENERAL STAFF RESULTS

1. Maintains member and employee confidence and protects operations by keeping information confidential and sharing on a business-related as-needed basis only.
2. Engages in problem resolution by clarifying the members and/or employees complaint; determining the cause of the problem; selecting and explaining the best solution to solve the problem; expediting correction or adjustment; following up to ensure resolution; and keeping the supervisor informed of problems and solutions.
3. Complies with UKFCU policies and procedures by enforcing and adhering to internal UKFCU procedures and board-established policies.
4. Complies with federal, state and local regulations and legal requirements by enforcing and adhering to requirements.
5. Maintains professional and technical knowledge by maintaining an awareness of competitors rates and terms, industry trends and technology; attending staff meetings; identifying opportunities to attend seminars that enhance skills and maintain knowledge of new products that could assist in improving operational effectiveness; reviewing professional publications; establishing personal networks; benchmarking state-of-the-art practices; and participating in professional societies.
6. Contributes to a team effort by accomplishing corporate and individual goals and other related results as needed.

Qualifications

MINIMUM REQUIREMENTS

• Two to three years sales or financial service related experience
• Bachelor’s degree or equivalent work experience
• Series 6 or 7 license preferred, but not required.
• Excellent verbal and written communication skills
• Ability to read, analyze, and interpret general business periodicals, professional journals, technical procedures, and governmental regulations.
• Microsoft Office skills such as Excel, Word, and Outlook
• Excellent attendance and punctuality
• Able to multi-task effectively with the ability to follow-up on actions and projects in a reasonable timeframe.
• Great personal character with the ability to maintain confidentiality and demonstrate respect and professionalism.
• Ability to motivate and influence others, foster sound relationships, present a trustworthy and diplomatic image, and deal effectively with others concerning topics of a personal or sensitive nature.
• Ability to apply common sense understanding to carry out instructions furnished in written, oral or diagram form.
• Ability to deal with problems involving several concrete variables in standardized situations.
• Ability to add, subtract, multiply and divide in all units of measure, using whole numbers, common fractions and decimals.
• Ability to write reports, correspondence, policies and procedures.
• Ability to work independently.

FINRA REQUIREMENTS:

All candidates must disclose any criminal history. Employee will be fingerprinted, as mandated by the FINRA Books and Records rule. All fingerprint submissions are processed through the Federal Bureau of Investigations and Department of Justice and results are returned to UKFCU via electronic notification. Any criminal history not previously disclosed to UKFCU can result in disciplinary action, up to and including immediate termination.

PHYSICAL DEMANDS:

The physical demands described here are representative of those that must be met by an employee 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 and stand; use hands to finger, handle, or feel objects, tools, or controls; reach with hands and arms; and talk or hear. The employee occasionally is required to walk and stand. The employee is occasionally required to stoop, kneel, crouch, or crawl. The employee must occasionally lift and/or move up to 25 pounds. Specific vision abilities required by this job include close vision and the ability to adjust focus.

WORK ENVIRONMENT:

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. The employee will be required to work indoors in a climate controlled office setting. The noise level in the work environment is usually quiet.

MENTAL DEMANDS:

The mental characteristics necessary to competently perform this job include the occasional need to be persuasive, use good judgment; and, the continuous need to use auditory perception, memory, and reasoning ability.

* The intent of this job description is to provide a representative summary of the types of results that will be required of the positions given this title, and shall not be construed as a declaration of the specific responsibilities of any particular position. Employees may be requested to perform job-related tasks other than those specifically outlined in this description.

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UKFCU is an equal employment opportunity employer and is committed to providing employment opportunities to minorities, females, veterans, and disabled individuals. UKFCU invites you to review the current "EEO Is the Law" poster as part of the application process. A link to the most current posters is here. Please also see the 2015 Supplemental EEO Poster here.

Applications are only accepted through our online application system. However, if you need assistance with any part of the application process or are unable to apply online because of a medical condition or disability and need an accommodation, please contact recruiting@ukfcu.orgto let us know the nature of your request. Please note, UKFCU accepts only employment applications that are complete and received by the Office of Human Resources by the specified deadline for each opening.

The Credit Union leadership recognizes that to achieve its vision and mission, it must embed the values of Diversity, Equity, and Inclusion (DEI) in all aspects of the Credit Union’s work. Together, the staff, membership and communities are diverse and as such, the Credit Union must reflect and respect that diversity. The Credit Union’s leadership recognizes and believes when an organization’s leadership and staff are representative of the people that it serves, it can better meet its vision and mission. Further, the Credit Union leadership believes that it benefits when diverse perspectives are represented, respected and included among the discourse and decision-making that takes place at the Credit Union, and with and among its staff, membership and communities.

Salary : $31 - $33