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About the Role

The Investment Services Assistant (ISA) provides administrative, operational, member service, and sales support to the Investment Services Program. This role supports Financial Advisors and the Operations Manager by processing transactions, maintaining records, coordinating client communications, and assisting with business development, ensuring service quality, compliance, and operational efficiency.

Responsibilities

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.
Process and verify investment-related transactions, transfers, account changes, and other service requests.
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.
Prepare, review, and maintain account documentation, correspondence, reports, and business records.
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.
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.
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.

Requirements

3 to 5 years of experience in investment services, financial services, banking, wealth management, securities operations, or a related administrative support role preferred.
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.
A two-year college degree or completion of a specialized course of study at a business or trade school, or equivalent practical work experience.
FINRA series 7 License to be completed within 1 year of hire date.
FINRA Series 63 License to be completed within 1 year of hire date.
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.
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.
Ability to sit for long periods, use hands to finger, handle, or feel, and talk or hear.
Ability to occasionally walk; reach with hands and arms; and stoop, kneel, crouch, or crawl.
Ability to occasionally lift and/or move up to 35 pounds.

Skills

Investment products
Investment services
Systems knowledge
Industry regulations
Microsoft Office Suite (Word, Excel, Outlook, Teams)
Financial services platforms
Organizational skills
Time management skills
Verbal communication skills
Written communication skills
Attention to detail
Interpersonal skills
Confidentiality
Discretion
Diplomacy
Tact

Location

Syracuse, New York

Work Type

Full-time
On-site

Experience Level

3-5 years preferred

Education Level

Associate's degree or equivalent experience

About the Company

Empower FCU Investment Services