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Sr Investment Services Representative

Company: Wescom Central Credit Union
Location: Orange
Posted on: November 18, 2020

Job Description:

POSITION SUMMARY: The Senior Investment Services Representative trains and oversees transactions of new Financial Advisors and MSRIIIs, supports self-directed members and processes related trades as well as perform numerous back-office functions essential to managing Wescom Financial Services (a licensed Broker Dealer and Registered Investment Advisor). The back-office support tasks include long term projects, preparing monthly management reports, managing vendor relationships, licensing and registration support, member marketing promotions and back office telephone support for Wescom Financial Services. ESSENTIAL POSITION FUNCTIONS: Assists with long term departmental projects including system/platform upgrades, product launches, etc. Trains new Advisors, Registered Investment Associates, and MSRIIIs on numerous reports and preparation of account documentation. Coordinates responses to Member Experience Surveys by following up with staff and members with resolution outcomes. Assists with complex member issues and provides service recovery, escalating as necessary. Participates in various compliance projects including IT audits, OSJ (Office of Supervisory Jurisdiction) audits, and the annual financial audits (filed with the SEC and registered states) as assigned by the President of WFS and the Chief Compliance Officer. Functions as the WFS liaison with CUSO Financial Services trading and operational areas. Cashiering of online self-directed accounts, resolves member account administration as well as operational issues, trade execution, margin calls and site navigational assistance for members. Provides operational support for Financial Advisors and MSRIIIs, including trade processing, account administration, transfer processing, etc. Receives telephone inquiries from members and other Wescom departments. Provides answers and when appropriate, directs calls to appropriate staff for resolution. Responsible for supporting a variety of management reports. Manages vendor relationships workflow, including onboarding, classifications, risk assessments, agreements, and due diligence documents. Responsible for member promotion tracking, gift card fulfillment and member tax reporting. Assist Compliance with licensing and registration, including employee onboarding and termination. Support Compliance with related FINRA filings, securities and insurance licenses as well as maintain the FINRA Gateway system for the firm, branches, and its associated persons. EDUCATION, EXPERIENCE, SKILLS AND ABILITIES: 5 years’ experience serving broker dealer clients and registered representatives. Back office telephone experience preferred. Bachelors’ degree or equivalent experience preferred. Requires FINRA Series 7, and 65 or 66 licenses and CA Department of Insurance Life & Disability. COMPUTER SKILLS: Proficient in Microsoft Applications (Word, Excel, PowerPoint, Outlook). Must be proficient in technology applications including the Credit Union’s operating system and specialized software required for performance of position. MATHEMATICAL SKILLS: Ability to add, subtract, multiply and divide in all units of measure, using whole numbers, common fractions and decimals. Able to compute rates, ratios, and percent and to draw and interpret bar graphs. 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. While performing the duties of this job, the employee is frequently required to stand; walk; sit; use hands to finger, handle or feel; reach with hands and arms, climb or balance, stoop kneel, crouch, crawl; talk or hear and taste or smell. The employee must occasionally lift and/or move up to 25 pounds. Vision abilities required by this job include close vision, distance vision, color vision, peripheral vision, depth perception and ability to adjust focus. WORK ENVIRONMENT: The work environment characteristics described here are representative of those an employee encounters while performing functions of this job. The noise level in the work environment is moderately quiet. It is a non-smoking environment. The above job requirements are representative of minimum levels of knowledge, skills, and abilities. The marginal functions have not been included. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. This job description no way implies that these are the only duties to be performed. An employee will be required to follow any other job-related instructions and duties as requested by the supervisor and/or management.

Keywords: Wescom Central Credit Union, Orange , Sr Investment Services Representative, Other , Orange, California

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