Senior Licensed Financial Advisor Assistant

Peak Credit Union; Eugene (OR); On-site; USD 38,000 - 43,000; Full time

Benefits offered by this job

Medical, dental, vision insurance

401k plan

Paid holidays and time off

Job summary

Peak Credit Union in Eugene, OR is seeking an experienced Investment Operations Specialist to support Financial Advisors by coordinating client-service, account-administration, trading-support, and compliance workflows. This in-person role requires meticulous records, strong regulatory knowledge, and the ability to serve as the primary liaison between clients and Advisors.

You will own the account-opening and maintenance process for securities and insurance accounts, maintain CRM records,

Qualifications

• High school diploma or equivalent.
• Active FINRA registrations: Series 7 and 66, or 7/63/65 with state license.
• Minimum seven (7) years of experience supporting investment, securities, insurance, or wealth-management operations.

Responsibilities

• Serves as a primary liaison between clients and Financial Advisors, processing requests within authority.
• Provides professional, timely service by phone, email, virtual meeting, and in person.
• Owns the account-opening and maintenance process for securities and insurance accounts.
• Maintains complete, timely, and accurate CRM records and audit-ready files.
• Leads preparation for retirement planning, annual/quarterly reviews, and related client meetings.

Skills

Series 7 & 66 registrations

Series 7/63/65 registrations + state保险

Regulatory compliance experience

Education

Bachelor's in Business or related field

Job description

United States

To maintain a strong connection with our members and local communities and better understand their unique needs , we are currently considering applications from candidates residing in Oregon and Washington for all open positions. We appreciate your understanding as we focus our hiring efforts in these specific regions. And, we encourage all qualified candidates from these states to apply, as we look forward to learning more about your unique skills and experience !

Job Summary

• Supports Financial Advisors in the day-to-day management of their investment practices by independently coordinating complex client-service, account-administration, trading-support, and compliance workflows. Serves as a primary point of contact for clients, resolves issues within established authority, maintains complete and accurate books and records, and helps ensure that client commitments, regulatory requirements, and service standards are consistently met.

Where You Will Work

• This is an in-person role based at 545 E 8th Ave, Eugene, OR 97401 ( Branches ).

Pay Range

• The target hourly pay range for this position is $27.42 - $31.15. The full hourly pay range is $24.92 - $37.38.
• Compensation decisions are determined using factors such as relevant job-related skills, experience, and education or training. Should an offer of employment be made, we will consider individual qualifications. In addition to your salary, compensation incentives are available for the hired applicant.
• Incentives are performance based and targets vary by role.

Duties and Responsibilities

Serves as a primary liaison between clients and Financial Advisors, independently processes permitted client requests, resolves routine and moderately complex service issues within established authority, and escalates advisory, supervisory, or compliance matters appropriately.

Provides professional, timely, and courteous service by phone, email, virtual meeting, and in person.

Owns the account-opening and maintenance process from application preparation through client delivery for securities and insurance accounts, including taking applications as requested, validating paperwork, tracking status, obtaining missing information, coordinating with internal and external partners, confirming receipt of funds, and ensuring the client file is complete and audit-ready.

Maintains complete, timely, and accurate records of client, prospect, and vendor interactions in the CRM, including contact history, service actions, referrals, and outstanding commitments. Reviews dashboards and exception reports daily, prioritizes unresolved items, coordinates resolution, confirms completion, and documents actions in accordance with record-retention and regulatory requirements.

Leads the operational preparation for financial-planning, annual-review, quarterly-review, and other client meetings by coordinating client data, balance sheets, investment-allocation summaries, agendas, illustrations, account documentation, charts, graphs, added-service materials, and outstanding service items.

Partners with Financial Advisors or firm principals after client meetings to document decisions, assign and prioritize follow-up actions, monitor deadlines, communicate status, and ensure commitments are completed or escalated.

Processes permitted equity, fixed-income, mutual-fund, and variable-annuity transactions under advisor direction and within licensing and supervisory authority. Verifies required documentation, follows established controls, monitors completion, and supports the timely fulfillment of annual required minimum distribution and advisory-review workflows without providing recommendations or acting in an advisory capacity.

Organizes and retains statements, client information, and related documents in accordance with established filing, record-retention, privacy, and information-security procedures.

Coordinates client calls, emails, and other communications; independently addresses permitted requests, researches and resolves service issues within established authority, communicates actions and status to the Financial Advisor, and records complete notes in the CRM.

Prepares and inputs data into retirement plan forms and asset allocation programs.

All other duties as assigned.

Minimum Qualifications

• High School
• Active Series 7 and Series 66 registrations, or active Series 7, Series 63, and Series 65 registrations, plus the applicable state insurance license
• Minimum of seven (7) years of progressively responsible experience supporting investment, securities, insurance, or wealth-management operations, including demonstrated ownership of complex client-service, account-administration, trading-support, and compliance workflows.

Preferred Qualifications

• Bachelor's in Business or related field of study.

Knowledge, Skills, and Abilities

Knowledge of securities, insurance, retirement, and wealth management products, services, and regulatory requirements, including FINRA, SEC, and state insurance regulations.

Skill in managing complex client-service and account-administration activities, including account opening, maintenance, documentation, and issue resolution.

Skill in preparing, reviewing, and maintaining accurate financial, transactional, and regulatory documentation in accordance with compliance and record-retention standards.

Ability to independently coordinate and prioritize multiple workflows, deadlines, and service commitments while maintaining a high level of accuracy and attention to detail.

Strong client relationship and communication skills, with the ability to effectively interact with clients, Financial Advisors, vendors, and internal business partners.

Ability to identify, research, resolve, and appropriately elevate operational, service, and compliance issues using sound judgment and established procedures.

Ability to support audit, compliance, trading-support, and financial-planning operations while ensuring adherence to regulatory requirements, internal controls, and service standards.

Total Rewards

This position is eligible for Full-Time Regular benefits. Employees and their eligible family members have access to a wide array of employee benefits, such as medical, dental, vision and life insurance coverage.

• Includes an option for Medical, Dental, and Vision insurance to be paid at a 100% by company for the employee only coverage.
• We also offer Health Care FSA (HCFSA), Health Savings Account (HSA) with employer contributions, and Dependent Care FSA (DCFSA).
• Employees also have access to Life and AD&D insurance.
• Employees are able to enroll in our 401k plan.
• Full-Time Regular employees accrue 8 hours of vacation and 8 hours of sick leave, on a monthly basis.
• Full-Time Regular hired employees also receive 11 paid holidays throughout the calendar year, 1 floating holiday, 16 hours of self-care time, and 16 hours of volunteer time.

Peak Credit Union participates in E-Verify. We use E-Verify to confirm the identity and employment eligibility of all persons hired to work in the United States.

Peak Credit Union is an Affir… All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, or protected veteran status and will not be discriminated against on the basis of disability. Equal Employment Opportunity Posters If you’d like to view a copy of the company’s affirmative action plan or policy statement, please email [e-mail].

If you have a disability and you believe you need a reasonable accommodation in order to search for a job opening or to submit an online application, please e-mail [e-mail]. This email is created exclusively to assist disabled job seekers whose disability prevents them from being able to apply online. Only messages left for this purpose will be returned. Messages left for other purposes, such as following up on an application or technical issues not related to a disability, will not receive a response.

Voluntary Self-Identification

For government reporting purposes, we ask candidates to respond to the below self-identification survey.Completion of the form is entirely voluntary. Whatever your decision, it will not be considered in the hiringprocess or thereafter. Any information that you do provide will be recorded and maintained in aconfidential file.

As set forth in Peak Credit Union ’s Equal Employment Opportunity policy,we do not discriminate on the basis of any protected group status under any applicable law.

If you believe you belong to any of the categories of protected veterans listed below, please indicate by making the appropriate selection.As a government contractor subject to the Vietnam Era Veterans Readjustment Assistance Act (VEVRAA), we request this information in order to measurethe effectiveness of the outreach and positive recruitment efforts we undertake pursuant to VEVRAA. Classification of protected categoriesis as follows:

A "disabled veteran" is one of the following: a veteran of the U.S. military, ground, naval or air service who is entitled to compensation (or who but for the receipt of military retired pay would be entitled to compensation) under laws administered by the Secretary of Veterans Affairs; or a person who was discharged or released from active duty because of a service-connected disability.

A "recently separated veteran" means any veteran during the three-year period beginning on the date of such veteran's discharge or release from active duty in the U.S. military, ground, naval, or air service.

An "active duty wartime or campaign badge veteran" means a veteran who served on active duty in the U.S. military, ground, naval or air service during a war, or in a campaign or expedition for which a campaign badge has been authorized under the laws administered by the Department of Defense.

An "Armed forces service medal veteran" means a veteran who, while serving on active duty in the U.S. military, ground, naval or air service, participated in a United States military operation for which an Armed Forces service medal was awarded pursuant to Executive Order 12985.