Investment Services - Financial Services Rep I
Company: Golden1 Credit Union
Posted on: November 22, 2021
TITLE : Financial Services Representative I
DEPARTMENT: Investment Services
STATUS : Non-Exempt JOB CODE : 1738
GENERAL DESCRIPTION : Provide support to assigned Financial
Consultant(s) to enhance and expand the overall penetration and
participation levels of the current investment services
TASKS, DUTIES, FUNCTIONS : Provide and ensure members, third party
vendors, and staff receive efficient, courteous, and accurate
information and responses/solutions.
Work with fund companies, insurance companies, and broker/dealer,
as needed, on behalf of the Financial Consultant.
Maintain a thorough understanding of state and federal laws and
regulations related to credit union compliance including bank
secrecy and anti-money laundering laws appropriate to the
Assist the Financial Consultant in scheduling member appointments
(new referrals, follow-up on old referrals, and existing account
development). Also assist with preparing member/client proposals
and other business submissions, weekly reports and activity
Assist the Financial Consultant with the tracking and reporting of
branch referral promotions.
Perform administrative tasks as follows:
Keep all sales materials and prospectus' updated and in good order
Develop and maintain files and records to comply with all
Process service requests, mail, and separate statements for
Maintain updated insurance product information/forms and investment
company prospectus library.
Develop and maintain OSJ files according to the standards set forth
by the regulators.
Assist in other Investment Services operational areas as
PHYSICAL SKILLS, ABILITIES, AND EXERTION UTILIZED IN THE
PERFORMANCE OF THESE TASKS : Effective oral and written
communication skills to interact with and follow up on member,
nonmember, branch, broker/dealer, and fund company inquiries and
Proper telephone etiquette skills.
Sufficient manual dexterity to skillfully operate an on line
computer terminal, calculator, and other standard office equipment
including, but not limited to, personal computer, adding machine,
facsimile machine, copier, telephone and other.
Travel as needed using personal or public transportation.
ORGANIZATIONAL CONTACTS & RELATIONSHIPS : INTERNAL: Branch and
administrative management. Financial Services staff.
EXTERNAL: Members, nonmembers, insurance companies, service
providers, compliance agencies, broker/dealer and fund
QUALIFICATIONS: EDUCATION: Successful completion of High School
EXPERIENCE: 2 years in a financial institution or related business
operation assisting in the delivery of financial products and
Knowledgeable of field regulations, policies and compliance
Knowledge of DataSafe system. - -Strong personal computer skills
(Windows, Word, Excel, etc.) and office equipment.
Possess independent work methods.
Ability to coordinate technical data with vendors and staff.
Strong verbal and written communication skills.
Excellent member service skills.
Good human relation skills.
Good mathematical aptitude.
Knowledge of accounting principles.
PHYSICAL REQUIREMENTS: Prolonged sitting throughout the workday
with occasional mobility required.
Corrected vision within the normal range.
Hearing within normal range. - A device to enhance hearing will be
provided if needed.
Bending, stooping, and lifting up to twenty-five pounds.
Valid California driver's license
Financial Industry Regulatory Authority (FINRA) Series 7 and 66
licenses and California State Department of Insurance Life Agent
license and Variable Contract license obtained within 12
Keywords: Golden1 Credit Union, Sacramento , Investment Services - Financial Services Rep I, Sales , Sacramento, California
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