Licensed Sales Assistant

In order to continually provide our members with the highest level of service, Affinity FCU is seeking an experienced, results oriented and service focused individual to join our team of professionals as a Licenses Sales Assistant to support our Affinity Investment Services team.

The starting salary range for a new hire in this role is $50k-$55k. The wage/salary offered to a successful candidate will be dependent on several qualifying factors, including but not limited to: years of relevant experience, years of industry experience, education, etc.

The Licensed Sales Assistant assists with the day-to-day client activity issues for the investment sales team. Assists Financial Consultant with all aspects of the sales process to provide a higher level of service and promote client retention. Responsible for booking appointments, portfolio reviews, stock liquidation, research and administrative functions that will allow Financial Consultant more time to produce.

• Act as liaison between clients and broker when broker is out of the office.
• Create and maintain a variety of reports.
• Regularly updates referral tracking software
• Establish and maintain positive and productive relationships with clients, handling all client requests in a timely and thorough manner.
• Interface with broker-dealer staff to resolve problems to the satisfaction of the client.
• Contact clients on a regular basis or as determined by broker to review account objectives, update account information, schedule appointments and discuss portfolio revisions.
• Process trades as requested by broker and clients.
• Keep abreast of market conditions on a daily basis; research news/charts on client investments as requested by client or broker.
• Ensure that transactions conform to FINRA compliance standards; (ensure proper disclosures were signed and received).
• Assist in seminar preparation. Attend seminars and branch fairs as requested. Follow up on leads generated by seminars/fairs by phone or email; schedule appointments as necessary.
• Process paperwork for broker as necessary, i.e. opening new accounts, account transfers, IRA distributions, check and wire requests, ACH agreements, monthly deduction changes, account and address changes, etc.
• Maintain timely flow of paperwork between client, broker-dealer and custodian.
• Ensure proper filing and maintenance of client account information, create and maintain databases for client contacts and mailings.
• Follow-up on all assigned leads and referrals generated by assigned territory and schedules appointments.

• 3+ years of related experience as a licensed financial sales assistant is required

• Series 6 or 7 and Series 63 Licenses required or obtained within six months
• Knowledge of DNA Core System (i.e., cView)
• Excellent business communication skills
• Knowledge of MS Office including Word, Excel, PowerPoint, Outlook
• Knowledge of Access helpful

Affinity strives to maintain balance between our employees’ personal and professional responsibilities. All full-time employees are eligible to participate in our multi-faceted Total Rewards package including competitive pay, target incentive, full medical/dental/prescription/vision coverage, comprehensive wellness program, mental wellbeing support, reproductive/family building benefits for both men and women, 401(k) plan with company match, basic term life insurance coverage, flexible spending accounts, identity protection, profit sharing, and generous paid time off.

As an Affinity employee you are eligible for discounts on our products and services, earn paid time off for volunteering and much more. In addition to these benefits, Affinity provides extensive educational and developmental opportunities as well as access to our formal Education Assistance Program.

Affinity Federal Credit Union is an Equal Opportunity Employer.

Affinity FCU is committed to creating an inclusive culture and an employment experience that values diversity. Our culture is built on respect - one that recognizes and values the unique talents of everyone on the team. With a genuine commitment to diversity, we’ve…