ESSENTIAL FUNCTIONS:
Service
•Provide exceptional customer service to all Member-clients.
•Follow up with Members referred to Wealth Management Department by Branch and Member Service Center to schedule investment-needs meeting.
•Provide regularly scheduled investment portfolio reviews.
•Handle routine customer inquiries; effectively work with back-office support personnel at vendors and broker-dealer to ensure high degree of quality service and customer satisfaction.
•Travel to Corporate offices and other Branch locations as assigned.
Investment Product Sales
•Open accounts and execute trades for advisory, mutual funds, stocks, bonds, etc. as directed by client in compliance with CUSO Financial Services Office of Supervisory Jurisdiction (OSJ).
•Research and provide literature on requested investment products including financial plans, advisory accounts, stocks, bonds, and mutual funds.
•Research and provide literature and information to clients regarding insurance products such as annuities.
•Establish and maintain interactive and open communication with CUSO Financial Services and product companies.
•Provide Branch and/or Member Service Center team members with regular referral and product training.
•Attend regular product and sales training meetings.
Administration
•Complete transactions within all FINRA, SEC, and Credit Union procedures and regulations.
•Research and repair all "Back to Rep" and NIGO "not in good order" items.
•Complete daily, weekly, and monthly sales blotters and tracking reports.
•Prepare and maintain complete and accurate digital client files, documentation, and Member data as directed by CUSO Financial Services and RCU.
•Maintain a weekly "pipeline" report of Members assisted and pending business items.
•Input financial planning data into financial planning software for the appropriate Members on an as-needed basis.
•Coordinate marketing and advertising efforts to promote Redwood Credit Union and Wealth Management Department.
Associate Financial Advisor Development Training Program
•The Associate Financial Advisor is responsible to complete all applicable sales, compliance and product training and be in good standing prior to any advancement or promotion to Financial Advisor. This program is as assigned by the VP-Wealth Management.
•The Associate Financial Advisor will complete additional licensing and educational programs as assigned by management.
JBA International