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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 is critical in supporting Financial Advisors and the Operations Manager by processing transactions, maintaining records, coordinating client communications, and assisting with business development, ensuring high service levels, regulatory 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 with 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.
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.
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

All candidates will be subject to a background check to determine employment eligibility.
For roles that require an NMLS you may be subject to a credit check.
Must maintain required licenses, credentials, and certifications necessary to support the investment program.
Must maintain FINRA-compliant filing systems and records.
Must ensure all required documentation is complete, current, and properly retained.
Must maintain current versions of LPL, SEI, AssetMark, and other required forms, prospectuses, disclosures, and regulatory documents.
Must accept, document, safeguard, and process checks, securities, and other negotiable instruments in accordance with established procedures.
Must record service activities, correspondence, and client interactions within designated tracking systems.
Must adhere to applicable regulatory requirements, policies, and procedures.
Must keep the Operations Manager informed of project status, challenges, and key developments.
Must maintain good standing of all required licenses and certifications.
Must be able to learn and effectively utilize financial services platforms, systems, and technology.
Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

Skills

Investment Services Operations & Advisor Support
Member Service & Transaction Processing
Documentation, Compliance & Records Management
Program Development & Business Support
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.
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.

Location

Syracuse, New York

Work Type

Full-time
On-site

Experience Level

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.

Education Level

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.

Salary/Compensations

$21.97-$32.96 hourly

Benefits

Medical and Dental Insurance
401K with Employer Match
Holiday Pay
Paid Time Off

About the Company

Empower FCU Purpose: At every stage of life, positively impact members by providing affordable financial services.
Empower FCU Core Values: Fairness, Integrity & Honesty
Empower FCU Strategic Pillars: World-Class Employee Experience, Best-In-Class Member Experience, Growth for Impact, Shared Value in the Community.
A World-Class Employee Experience: We are at our best when we are developing genuine relationships, looking out for one another, freely and honestly sharing information, and working together.
We succeed when we rise above our departments, roles, and individual interests to come together, to move forward together.
Each of us plays a crucial role in creating a positive work environment and we encourage all our employees to actively contribute to embracing Empower’s values and supporting those around you.
Be Yourself, Belong with Empower: The strength of Empower is in the unique backgrounds, voices, talents, & experiences of each person.
With a culture of belonging, we enable teamwork, spark innovation, and fuel success.

Equal Opportunity

Empower Federal Credit Union is an equal opportunity employer and does not discriminate on the basis of any legally protected status or characteristic including race, religion, ethnicity, color, national or ethnic origin, age, sex, sexual orientation, gender identity or expressions, transgender status, sexual or other reproductive health decisions, marital status, ancestry, citizenship status, physical or mental disability, genetic information/ predisposition or carrier status, status in the uniformed services of the United States (including veteran status) or any other basis protected by applicable national, federal, state, provincial or local law.
Our Equal Employment Opportunity Policy Statement reaffirms our commitment.
Federal Labor Law Posters
New York Labor Law Poster
Employment Eligibility Notices
E-Verify
Right to Work
Empower Federal Credit Union is committed to equal opportunity to qualified persons without regard to basis of race, religion, ethnicity, color, national or ethnic origin, age, sex, sexual orientation, gender identity or expressions, transgender status, sexual or other reproductive health decisions, marital status, ancestry, citizenship status, physical or mental disability, genetic information/ predisposition or carrier status, status in the uniformed services of the United States (including veteran status) or any other basis protected by applicable national, federal, state, provincial or local law.
Empower Federal Credit Union will make reasonable accommodations for known physical or mental limitations of otherwise qualified employees and applicants with disabilities unless the accommodation would impose an undue hardship on the operation of our business.
If you are interested in applying for an employment opportunity and feel you need a reasonable accommodation pursuant to the ADA, please contact us through one of the methods listed below: a) Fax: 315.455.5423 b) US Mail: 1 Member Way Syracuse, NY 13212 c) Phone: 800.462.5000