Investment Services Coordinator: Growth & Compliance

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

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.