Investment Specialist

If you are motivated and believe in the credit union philosophy of "People Helping People," join our team!

The Investment Operations Specialist works with Financial Advisory Service (FAS) specialists to deliver investments to SECU’s members. The Operations team serves as the leader for evaluation, selection, management and execution of all investment strategies and services.

This person will coordinate with the Relationship Management team to manage and service investment accounts. This person will be a subject matter expert (SME) on investment operations for SECU’s FAS team. This person will explore new opportunities for the Investment Services Department, including new products and service opportunities. This person ensures that all security recommendations are appropriate for a member’s risk profile and time horizon.

• 10% - Projects, Proposals, Education, and Managing Business Relationships
  • Conduct research and meet with investment professionals to develop relationships and explore new product opportunities.
  • Create proposals for Board and Investment Committee review and approval covering new product recommendations and revenue stream opportunities.
  • Create, manage, and execute training programs for FAS Specialists and back office employees when new products and services are implemented.
  • Create and distribute reference and education materials to retail FAS specialists that help develop and sustain member relationships.
• 30% - Trade Execution and Approval
  • Execute and approve equity, fixed income, and mutual fund trades received from FAS Specialists and members.
  • Stringent FINRA licensing required to execute and approve trades.
  • Produce and review monthly investment statistics and provide actionable insights to management to improve FAS retail success and member loyalty.
• 45% - FAS Specialist/Member Interaction & Investment Account Management
  • Field phone calls, e-mails and instant messages from all FAS specialists across the retail network as well as from members that call in directly to Investment Services.
  • Supervise new and existing investment business.
  • Manage daily money activity and account billing.
  • Work with clearing custodian and other investment vendors to ensure quality service.
• 15% - Compliance and Due Diligence
  • Work closely with Compliance team to develop policies and procedures for effective retail supervision.
  • Resolve trade errors and operational challenges promptly and efficiently.
  • Ensure compliance with all policies and procedures, as well as securities rules and regulations.
  • Assist with Vendor Due Diligence Requirements.

• A four‑year bachelor’s degree, preferably in a financial related field.
• 2+ years of experience, or an equivalent combination of education and experience.
• Series 7/66 licenses required or must be obtained within three months of hire.
• Series 24 preferred or expected to be obtained within six months of hire.
• CFP designation preferred; SECU can help obtain it.
• Envestnet and NetX
  360 experience a plus.
• Series 52 and 53 a plus.
• CFA a plus.
• Strong multi‑tasking capability.
• Ability to lead and supervise projects.
• Ability to meet deadlines.

On‑site with hybrid remote opportunities available.

Seasoned and knowledgeable FINRA licensed Financial Professional who understands and believes in the credit union’s long-standing philosophy of “people helping people” and has a desire to work with a rapidly growing firm.

SECU provides equal employment opportunity to all qualified persons regardless of race, color, religion, age, sex, sexual orientation, gender identity, national origin, genetic information, disability, veteran status, or other classification protected by law.