Investment Services - Financial Services Rep I

1. Provide and ensure members, third party vendors, and staff receive efficient, courteous, and accurate information and responses/solutions.
2. Work with fund companies, insurance companies, and broker/dealer, as needed, on behalf of the Financial Consultant.
3. Maintain a thorough understanding of state and federal laws and regulations related to credit union compliance including bank secrecy and anti-money laundering laws appropriate to the position.
4. Assist the Financial Consultant in scheduling member appointments (new referrals, follow-up on old referrals, and existing account development). Also assist with preparing member/client proposals and other business submissions, weekly reports and activity log.
5. Assist the Financial Consultant with the tracking and reporting of branch referral promotions.
6. Perform administrative tasks as follows:
• Keep all sales materials and prospectus’ updated and in good order per regulations.
• Develop and maintain files and records to comply with all regulatory statutes.
• Process service requests, mail, and separate statements for Financial Consultants.
• Maintain updated insurance product information/forms and investment company prospectus library.
• Develop and maintain OSJ files according to the standards set forth by the regulators. 
7. Assist in other Investment Services operational areas as needed.  

1. Effective oral and written communication skills to interact with and follow up on member, nonmember, branch, broker/dealer, and fund company inquiries and concerns.
2. Proper telephone etiquette skills.
3. Sufficient manual dexterity to skillfully operate an on line computer terminal, calculator, and other standard office equipment including, but not limited to, personal computer, adding machine, facsimile machine, copier, telephone and other.
4. Travel as needed using personal or public transportation.

1. INTERNAL: Branch and administrative management. Financial Services staff.
2. EXTERNAL: Members, nonmembers, insurance companies, service providers, compliance agencies, broker/dealer and fund companies.

1. EDUCATION: Successful completion of High School curriculum.  
2. EXPERIENCE: 2 years in a financial institution or related business operation assisting in the delivery of financial products and services.  
3. KNOWLEDGE/SKILLS: 
• Knowledgeable of field regulations, policies and compliance guidelines.
• Knowledge of DataSafe system.   Strong personal computer skills (Windows, Word, Excel, etc.) and office equipment.
• Possess independent work methods.
• Ability to coordinate technical data with vendors and staff.
• Strong verbal and written communication skills.
• Excellent member service skills.
• Good human relation skills.
• Good mathematical aptitude.
• Knowledge of accounting principles.

1. Prolonged sitting throughout the workday with occasional mobility required.
2. Corrected vision within the normal range.
3. Hearing within normal range.  A device to enhance hearing will be provided if needed.
4. Bending, stooping, and lifting up to twenty-five pounds. 

1. Valid California driver's license
2. Financial Industry Regulatory Authority (FINRA) Series 7 and 66 licenses and California State Department of Insurance Life Agent license and Variable Contract license obtained within 12 months.

REV. 6.29.2023