Investment Services Assistant

Empower Federal Credit Union in; City of Syracuse (NY); On-site; USD 46,000 - 62,000; Full time

Job summary

Empower FCU in Syracuse, NY is seeking an Investment Services Assistant to provide administrative, operational, member service, and sales support for the Investment Services Program. The role supports Financial Advisors and the Operations Manager by processing transactions, maintaining records, coordinating client communications, and assisting with business development.

This full-time, on-site position requires licensing, adherence to FINRA and policy standards, and strong organizational skills

Qualifications

• Experience supporting financial advisors or investment representatives preferred.
• Experience handling confidential financial information and client documentation required.
• Experience processing transactions, account maintenance requests, or securities-related paperwork preferred.
• Experience working within a regulated financial services environment strongly preferred.

Responsibilities

• Serve as a primary administrative support resource for Financial Advisors and the Investment Services Program.
• Maintain and expand knowledge of investment products, services, systems, and industry regulations.
• Maintain required licenses, credentials, and certifications necessary to support the investment program.
• Assist Financial Advisors with daily operational and service needs.
• Support advisor productivity through effective organization, scheduling, and workflow management.
• Ensure all activities are completed in accordance with regulatory requirements, company policies, and industry standards.
• Process and verify investment-related transactions, transfers, account changes, and other service requests as directed by the licensed Financial Advisor and authorized by the client.
• Receive and respond to incoming calls from existing and prospective clients regarding Investment Services.
• Assist clients with account servicing requests and general program inquiries.
• Prepare and process new account documentation and related paperwork.
• Schedule client appointments and maintain advisor calendars.
• Provide a high level of member service through timely, professional, and accurate communication.
• Escalate complex service issues to the appropriate Financial Advisor or Program Manager as needed.
• Prepare, review, and maintain account documentation, correspondence, reports, and business records with a high degree of accuracy and confidentiality.
• Maintain FINRA-compliant filing systems and records related to investment transactions and client activities.
• Ensure all required documentation is complete, current, and properly retained.
• Maintain current versions of LPL, SEI, AssetMark, and other required forms, prospectuses, disclosures, and regulatory documents.
• Open and process incoming client correspondence when authorized by the LPL OSJ Manager.
• Accept, document, safeguard, and process checks, securities, and other negotiable instruments in accordance with established procedures.
• Record service activities, correspondence, and client interactions within designated tracking systems.
• Support compliance efforts by adhering to applicable regulatory requirements, policies, and procedures.
• Support business development efforts and growth initiatives for the Investment Services Program.
• Assist with referral opportunities between Investment Services and Empower Federal Credit Union business units.
• Coordinate with the Marketing and Communications team to promote investment services to current and prospective members.
• Participate in process improvement initiatives to increase efficiency, accuracy, and service quality.
• Assist with special projects and departmental initiatives as assigned.
• Keep the Operations Manager informed of project status, challenges, and key developments.
• Contribute to achieving departmental goals while maintaining established timelines and budgets.
• Perform all other duties as assigned.

Skills

Communication skills

Organizational skills

Attention to detail

MS Office proficiency

Discretion with confidential info

Education

Two-year degree or equivalent practical work experience

Tools

Financial services platforms

Job description

FINANCIRole:

The Investment Services Assistant (ISA) is responsible for providing administrative, operational, member service, and sales support to the Investment Services Program. The ISA plays a critical role in supporting Financial Advisors and the Operations Manager by processing transactions, maintaining accurate records, coordinating client communications, and assisting with business development initiatives. This position helps ensure a high level of service, regulatory compliance, operational efficiency, and member satisfaction while contributing to the overall growth and success of the investment program.

This position is based in Syracuse, New York and requires full-time, on-site presence at our Empower FCU Investment Services offices.

Essential Functions & Responsibilities:

25% Investment Services Operations & Advisor Support:

• Serve as a primary administrative support resource for assigned Financial Advisors and the Investment Services Program.
• Maintain and expand knowledge of investment products, services, systems, and industry regulations.
• Maintain required licenses, credentials, and certifications necessary to support the investment program.
• Assist Financial Advisors with daily operational and service needs.
• Support advisor productivity through effective organization, scheduling, and workflow management.
• Ensure all activities are completed in accordance with regulatory requirements, company policies, and industry standards.

25% Member Service & Transaction Processing:

• Process and verify investment-related transactions, transfers, account changes, and other service requests as directed by the licensed Financial Advisor and authorized by the client.
• Receive and respond to incoming calls from existing and prospective clients regarding Investment Services.
• Assist clients with account servicing requests and general program inquiries.
• Prepare and process new account documentation and related paperwork.
• Schedule client appointments and maintain advisor calendars.
• Provide a high level of member service through timely, professional, and accurate communication.
• Escalate complex service issues to the appropriate Financial Advisor or Program Manager as needed.

25% Documentation, Compliance & Records Management:

• Prepare, review, and maintain account documentation, correspondence, reports, and business records with a high degree of accuracy and confidentiality.
• Maintain FINRA-compliant filing systems and records related to investment transactions and client activities.
• Ensure all required documentation is complete, current, and properly retained.
• Maintain current versions of LPL, SEI, AssetMark, and other required forms, prospectuses, disclosures, and regulatory documents.
• Open and process incoming client correspondence when authorized by the LPL OSJ Manager.
• Accept, document, safeguard, and process checks, securities, and other negotiable instruments in accordance with established procedures.
• Record service activities, correspondence, and client interactions within designated tracking systems.
• Support compliance efforts by adhering to applicable regulatory requirements, policies, and procedures.

25% Program Development & Business Support:

• Support business development efforts and growth initiatives for the Investment Services Program.
• Assist with referral opportunities between Investment Services and Empower Federal Credit Union business units.
• Coordinate with the Marketing and Communications team to promote investment services to current and prospective members.
• Participate in process improvement initiatives to increase efficiency, accuracy, and service quality.
• Assist with special projects and departmental initiatives as assigned.
• Keep the Operations Manager informed of project status, challenges, and key developments.
• Contribute to achieving departmental goals while maintaining established timelines and budgets.
• Perform all other duties as assigned.

Performance Measurements:

See Dayforce (HRIS) Performance Management for Goals upon start in role, and annually.

Knowledge and Skills:

Experience:

• Experience supporting financial advisors or investment representatives preferred.
• Experience handling confidential financial information and client documentation required.
• Experience processing transactions, account maintenance requests, or securities-related paperwork preferred.
• Experience working within a regulated financial services environment strongly preferred.

Education:

A two-year college degree or completion of a specialized course of study at a business or trade school, or equivalent practical work experience.

Licenses & Certifications to be completed within 1 year of hire date.

• FINRA series 7 License
• FINRA Series 63 License
• Notary Public certification required or must be obtained within a timeframe established by management.
• All required licenses and certifications must be maintained in good standing.

Interpersonal Skills:

Work involves much personal contact with others inside and/or outside the organization for the purpose of first-level conflict resolution, building relationships, and soliciting cooperation. Discussions involve a higher degree of confidentiality and discretion, requiring diplomacy and tact in communication.

Other Skills:

• Strong organizational and time management skills.
• Excellent verbal and written communication skills.
• High degree of accuracy and attention to detail.
• Proficiency with Microsoft Office applications, including Word, Excel, Outlook, and Teams.
• Ability to manage multiple priorities and meet deadlines in a fast-paced environment.
• Knowledge of investment operations, account servicing processes, and securities documentation.
• Ability to learn and effectively utilize financial services platforms, systems, and technology.

Physical Requirements:

The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of the 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 required to sit for long periods at a time, use hands to finger, handle, or feel, and talk or hear. The employee is occasionally required to walk; reach with hands and arms; and stoop, kneel, crouch, or crawl. The employee must occasionally lift and/or move up to 35 pounds.

Work Environment:

The work environment characteristics described here are representative of those an employee encounters while performing the essential functions of this job. The noise level in the work environment is usually moderate.

This Job Description is not a complete statement of all duties and responsibilities comprising the position.