Investment Services Coordinator

Community First Credit Union; Appleton (WI); On-site; USD 65,000 - 95,000; Full time

Job summary

Community First Credit Union seeks an Investment Coordinator to work with branch teams and the Community First Financial Advisor group, enhancing member service on investments. You’ll handle referrals, appointments, and ensure regulatory compliance while supporting a fast-paced, team-driven environment.

The role emphasizes servicing and processing activities, with a strong focus on member experience and collaboration with advisors in a disciplined financial services setting.

Qualifications

• Bachelor’s degree and five years of related work experience, or equivalent.
• Series 6/7 and 66 (63/65) licenses.
• Life, Health and Variable Annuity license.
• Strong relationship management and service skills in a member-focused environment.
• Excellent organizational and multi-tasking abilities in a fast-paced setting.
• Proficiency in Word, Outlook and Excel; solid PC skills.

Responsibilities

• Serve as contact via phone and email queues for processing and servicing items.
• Manage and assign a pipeline of referrals and advisor appointments.
• Identify process efficiencies and training opportunities for the CFFA team.
• Ensure compliance with FINRA, SEC, and broker/dealer rules and regulations.
• Oversee processing of new member accounts, service requests and trading instructions.

Skills

Relationship management

Customer service

Organizational skills

Multi-tasking

Education

Bachelor's degree in related field

Tools

Microsoft Word

Outlook

Excel

Job description

• Full-Time
• On-site

Locations

Showing 1 location

Oneida Street Branch
Appleton, WI 54915, USA

Description

At Community First Credit Union, helping our member-owners manage their financial planning at all stages of life is foundational to the work we do as a credit union.

As Investment Coordinator, you’ll work closely with our branch teams and Community First Financial Advisor team to continuously enhance the quality of service we provide to our credit union members. The CFFA team is a tight-knit, collaborative group, and we’re looking for someone with not just a passion for investment products and services, but a heart for helping. If you’re looking to grow your career in investments (or continue a career you’ve already built), and you’re looking forward to working in a fast-paced, team-oriented environment that’s focused on putting the member’s needs first, we’d like to talk to you!

As Investment Coordinator, you will:

• Serve as a point of contact via phone and email queues for processing and servicing items
• Manage and assign a strong pipeline of incoming referrals and advisor appointments
• Identify process efficiencies and training opportunities for the CFFA team, including advisors
• Ensure compliance with FINRA, SEC, and broker/dealer rules and regulations. Maintain compliance standards set by the broker/dealer and credit union
• Oversee the processing of new member account applications; service requests and trading instructions. Ensure requests and trades are handled in accordance with FINRA, SEC, and broker/dealer rules and regulations

Ideal Candidates will have a combination of:

• Bachelor's degree in a related field and five years of related work experience; an equivalent combination of education and experience will be considered
• Series 6 or 7 and 66 (63/65)
• Life, Health and Variable Annuity insurance license
• Strong relationship management and support skills, in a service environment targeted towards enhancing the member experience
• Exceptional organizational skills, as well as the ability to perform multiple tasks and demonstrate strong performance in a fast paced environment while adhering to specific time frames
• Advanced working knowledge of brokerage and insurance products, terms, functions, suitability and compliance aspects
• Proficiency in Microsoft Word, Outlook and possess Excel experience with strong PC skills
• Self-motivated with ability to work in a strong team environment, with minimal supervision

Equal Opportunity Employer
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