Wealth Management Operations Associate

SUMMARY Under the direction of the Wealth Management Operations Manager, the Wealth Management Operations Associate is responsible for providing the necessary advanced and diverse operational support for Wealth Management clients to ensure that they receive a positive experience and exceptional service.

ESSENTIAL FUNCTIONS

Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. The following statements are intended to describe the general nature and level of work being performed by this position. It is not intended to be an exhaustive list of all duties, responsibilities, and skills required of this position.

Other duties may be assigned to meet business needs. Gathers and analyzes data by applying technical and professional expertise. Responds to clients’ inquiries and requests; assists in completing forms and documents. Resolves errors and client concerns in a timely manner. Processes new accounts, account transfers, beneficiary changes, new contributions, and redemptions with attention to detail and accuracy.

Assists in processing all LPL Financial Advisors’ personal production. Makes and records client name, time, and date of appointment in appointment book; telephones or writes client to remind them of appointment. Develops, initiates, and completes marketing activities consistent with the marketing of securities and insurance products, such as conducting seminars, mailings, networking, responding to referrals, etc.

Receives clients, answers telephone, schedules appointments and receives and distributes information. Records clear and concise minutes, reports, correspondence, and other material. Composes letters and memoranda and writes reports. Coordinates State, SEC, and NASD licensing. Maintains, updates, and further develops Wealth Management Department social media presence.

Utilizes Client Relationship Management (CRM) to perform daily operations. Effectively utilizes LPL Financial software suite, which includes technology directed to marketing, operations, business development, trading, compliance, portfolio reviews, and training. May maintain business hours consistent with the NYSE, unless superseded by Credit Union office hours or by direction from the Chief Wealth Officer.

Opens and routes incoming mail, answers correspondence, and prepares outgoing mail. Proofreads records forms to verify accuracy and completeness. Maintains records of various transactions, forms, files, materials, and product supplies. Actively participates in Wealth Management Department functions. Represents the Credit Union in a professional manner at social and business functions.

Regularly attends and participates in Credit Union and third-party broker/dealer sponsored local and out-of-town meetings, seminars, and conferences (which may require unaccompanied long-distance travel and overnight lodging) to maintain and to increase product and investment technical knowledge. Performs duties as assigned by management and may be assigned to work at any branch.

Follows policies and procedures related to the Bank Secrecy Act (BSA), Anti-Money Laundering (AML), and Customer Identification Program (CIP) to ensure daily compliance with current regulations.

QUALIFICATIONS

The qualifications listed below are representative of the knowledge, skill and/or ability required to perform the essential functions of this position.

Education and Experience

Bachelor’s degree or equivalent education and experience desired. Fluency in Spanish preferred, encompassing both verbal and written knowledge. Certificates, Licenses and Registrations Ability to pass and obtain the following: CA Notary License, preferred. FINRA Series 7 General Securities Representative License, preferred.

Series 65 State Uniform Investment Advisor License, preferred. California Life and Health Insurance License, preferred. Knowledge State and Federal laws and regulation pertaining to securities and insurance products. State and Federal tax laws and regulations. Knowledge of Department policies, procedures, practices and goals.

Board policies and Credit Union goals, organizational structure, policies, procedures (including Office Procedure Manual and Employee Handbook), practices, and systems. Credit Union financial activities, policies, procedures, practices, and systems. Credit Union products, services, programs, and promotions. MS Office and other systems and software needed to effectively perform job.

Other Skills and Abilities Performs duties accurately and efficiently, even with frequent interruptions. Operates a variety of office equipment and machines. Type 40 words per minute with accuracy. Records and transcribes notes. Travels, attends, and participates in meetings, seminars, and conferences held before and after normal business hours that may require unaccompanied long-distance travel and overnight lodging.

Ability to work a variety of hours, including evenings and weekends. AFFIRMATIVE ACTION/EEO STATEMENT: CoastHills is an Equal Opportunity/Affirmative Action employer. We will consider all qualified applicants for employment without regard to race, color, religion, ancestry, gender, pregnancy, sex, sexual orientation, transitioning status, gender identity, gender expression, national origin, age, genetic information, military and veteran status, marital status, medical condition, mental disability, physical disability, or any other basis protected by local, state, or federal law.

For our EEO Policy Statement, please click here . If you’d like more information on your EEO rights under the law, please click here .