Responsible for working successfully with financial advisors to help grow their monthly revenue production. Oversees the daily schedule for a financial advisor. Acts as the first point of contact with the clients on all operational and service issues.
Performs all other duties as assigned. Implements and performs according to the established TDECU REAL standards.
Essential Duties and Responsibilities:
(To perform successfully in this position, an individual must be able to perform essential duties satisfactorily as well as possess education/experience, knowledge, skill, and ability as listed in representative fashion: reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions of this position - this listing of essential duties is not all inclusive, but representative, other duties may be assigned.)
Consistently renders exceptional customer service internally and externally.
Responsible for working successfully with financial advisors to help grow their monthly revenue production.
Schedules appointments and maintains calendars for the financial advisor.
Calls financial advisors existing book of customers to schedule both quarterly and annual reviews.
Places trades as needed (must be properly licensed).
Assists with all operational and support issues for numerous financial advisors.
Oversees the daily operations for an investment program, ensures compliance with both broker/dealer and government regulations.
Prepares, composes and initiates correspondence, memoranda, presentation material and advertising for the financial advisors.
Maintains appropriate records, files, documentation etc.
Review all securities trades to ensure paperwork is complete.
Stays abreast of changes to internal investment policies and procedures; as well as those of the broker/dealer, and acts as the liaison with the broker/dealer on all operational issues.
Actively participates in groups to represent the Credit Union and Investment broker.
Represents the Credit Union's Investment planning at professional functions and public relations activities.
(Education, Experience, Knowledge, Skills, and Abilities)
High School Diploma is required.
Professional licensures required:
FINRA Securities Series 6, and 63, Texas Insurance License.
May obtain within 90 days of starting if the candidate has two years related business experience.
Professional certifications or accreditations, as well as Series 7 and 66 are a plus.
Two years of related business experience and previous securities experience is required.
Previous experience in a financial institution is a plus.
Knowledge, Skills, and Abilities
Ability to communicate effectively both verbally and in writing.
Ability to communicate efficiently with all levels of the organization.
Ability to coordinate a number of different projects at different states of completion, identifying targets
Skilled at developing and maintaining relationships.
Must be a strategic and analytical thinker capable of evaluating multiple concepts and making complex decisions.
Ability to exercise a high level of initiative and autonomy.
Excellent Word and Excel skills required.
Ability to use complex technical tools and programs efficiently and effectively.
Ability to convey results and use in understandable/actionable format to managers and/or reports.
Ability to analyze options and consider multiple variables and factors simultaneously in order to formulate appropriate recommendations.
Ability to anticipate problems and develop contingency plans in advance.
Skilled at recognizing potential consequences of decisions on others and identifying and resolving
Ability to prioritize and delegate tasks and responsibilities.
Ability to mentor and develop others.
Comprehensive understanding of complex investment strategies, software, and products.
Must be comfortable with basic budget preparation and P&L management.
Ability to exercise a high degree of initiative, judgment and confidentiality.
Must have a good understanding of the industry and market conditions.
Knowledge of all Federal and State laws and regulations as they pertain to sales of non-deposit investments.
Physical Demands and Work Environment:
(The physical demands and work environment characteristics described herein are representative of those that must be met by an employee to successfully perform essential functions of this position and/or may be encountered while performing essential functions. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.)
While performing the essential duties of this position, an employee would frequently be required to stand, walk, and sit. An employee must frequently life and/or move up to 10 pounds and may occasionally lift and/or move up to 25 pounds to perform essential position functions.
Specific vision abilities required by this position include close vision, distance vision, and the ability to adjust focus. The noise level in the work environment is usually moderate.
Regular attendance is an essential function of this position. This means that the employee is required to report to work on time and must remain available to clients during scheduled hours.
This position requires face-to-face interaction in person or by telephone and e-mail with customers, clients, and vendors.
Texas Dow Employees Credit Union - 20 months ago