Investment Representative

Landmark Credit Union; New Berlin (WI); On-site; USD 70,000 - 105,000; Full time

Job summary

Landmark Credit Union is seeking a qualified investment professional to assist members with investment products and financial planning. The role involves conducting client meetings, gathering information, and preparing recommendations under senior advisors’ guidance.

You will collaborate with credit union staff, fund and insurance companies, and LPL Financial to service client accounts and support investment solutions.

Qualifications

• High school diploma or equivalent. Licensed as required to operate securities products as a registered representative.

Responsibilities

• Develops and maintains client relationships by conducting initial and ongoing review meetings to assess financial goals, risk tolerance, time horizon, and investment needs.
• Provides investment and financial planning services by preparing financial plans, investment recommendations, applications, proposals, and related documentation.
• Manages client accounts and transactions by processing securities trades, monitoring account activity and statements, and conducting account research with fund companies, carriers, and broker-dealer partners.
• Delivers responsive client service by handling client inquiries, preparing correspondence, coordinating mailings, and serving as a liaison between clients and external partners.
• Maintains accurate client records by documenting client interactions and updating client information within contact management and recordkeeping systems.
• Prepares for and conducts client reviews by analyzing account performance and creating materials to support client review meetings.
• Promotes financial education and awareness by presenting at new hire training sessions and facilitating investment-related educational seminars.
• Performs other duties as assigned.

Skills

Communication skills

Problem solving

Organizational skills

Independent work

Regulatory compliance

Education

High school diploma

Job description

At Landmark Credit Union, we succeed by putting people first - and that starts with you. Our culture of inclusion and collaboration enables us to support our members' financial wellbeing, positively impact the communities we serve, and help our associates grow their careers. Bring your authentic self to work as part of an organization where you'll feel valued for your unique qualities, are enabled to reach your full potential, and are recognized for your contributions to our success. We strive to ensure you feel empowered to grow and succeed, while also feeling valued and taken care of, as we all do our part to put people first. We invite you to learn more about this and other opportunities at Landmark Credit Union.

Nature and Scope

Reports to the SVP, Landmark Investment Center. Assists in providing investment products and services to Landmark Credit Union members and prospective members. Supports client relationship development by conducting client meetings, gathering financial information, preparing recommendations and financial plans, and responding to client inquiries. Collaborates with credit union staff, fund and insurance companies, and LPL Financial to service client accounts, process transactions, and support the delivery of investment solutions under the guidance of senior advisors.

Requirements

• 1. High school diploma or equivalent, and a minimum of one year experience as a registered representative and be approved to operate as a registered representative of a broker/dealer affiliated with Landmark Credit Union, and adhere to the policies and procedures of that broker/dealer when working with any securities products.
• 2. Must hold a WI Life Insurance License and FINRA series 6 or 7 and 66 (or 63 & 65) Securities Licenses.
• 3. Experience or ability to gain proficiency in all programs and systems used for this job.
• 4. Excellent verbal and written communication skills, problem solving skills, organizational skills and the ability to work independently.
• 5. Must develop a thorough understanding of company policies and procedures as they relate to the position. Must comply with all company policies and procedures and job-related state and federal laws and regulations.

Principal Accountabilities

• 1. Develops and maintains client relationships by conducting initial and ongoing review meetings to assess financial goals, risk tolerance, time horizon, and investment needs.
• 2. Provides investment and financial planning services by preparing financial plans, investment recommendations, applications, proposals, and related documentation.
• 3. Manages client accounts and transactions by processing securities trades, monitoring account activity and statements, and conducting account research with fund companies, insurance carriers, and broker-dealer partners.
• 4. Delivers responsive client service by handling client inquiries, preparing correspondence, coordinating mailings, and serving as a liaison between clients and external partners.
• 5. Maintains accurate client records by documenting client interactions and updating client information within contact management and recordkeeping systems.
• 6. Prepares for and conducts client reviews by analyzing account performance and creating materials to support client review meetings.
• 7. Promotes financial education and awareness by presenting at new hire training sessions and facilitating investment-related educational seminars.
• 8. Performs other duties as assigned.

EEO/Veterans/Disabled