Investment Relationship Specialist

TITLE: INVESTMENT RELATIONSHIP SPECIALIST  
STATUS: NON-EXEMPT
REPORT TO: SUP – INVESTMENT SERVICES OPS
DEPARTMENT: INVESTMENT SERVICES
JOB CODE: 11779

PAY RANGE: $22.75 - $26.00 HOURLY

GENERAL DESCRIPTION:

The Investment Relationship Specialist is an engaged, goal-oriented, and proactive individual who has a passion for service excellence; utilizing expert customer services skills to address member inquiries while deepening relationships to address member’s financial needs. The ideal candidate will possess exceptional communication, collaboration and relationship building skills to holistically address what member needs and connect them appropriate partners across the organization.

TASKS, DUTIES, FUNCTIONS:

1. Collaborate with the appropriate parties to develop and implement strategies to promote investment services and increase member/retail engagement.
2. Foster strong relationships with branch partners by actively engaging with them to understand member needs and preferences, and coordinate efforts to provide comprehensive financial solutions. Promoting engagement initiatives within the branch to increase Financial Services awareness.
3. Collaborate on initiatives that promote financial wellness and contribute to the overall well-being of the community.
4. Identify opportunities for cross-selling financial services and refer members to other business units as appropriate to maximize member satisfaction.
5. Provide concierge service to Golden 1 membership base with obtaining Medallion Signature Guarantees. Including traveling to branch for in-person meetings with members to review required documentation and provide service of medallion stamp.
6. Lead proactive outreach calling initiatives to be able to articulate how Golden 1 products and services can address members financial needs and priorities.
7. Adhere to all company policies, procedures, and regulatory requirements to maintain a high standard of professionalism and integrity in all interactions with member/client and colleagues.
8. Provide and ensure members, third party vendors, and staff receive efficient, courteous, and accurate information and responses/solutions.
9. 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 position.
10. Assist the Financial Advisor 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 log.
11. Perform administrative tasks as follows:

• Keep all sales materials and prospectuses updated and in good order per regulations.
• Develop and maintain files and records to comply with all regulatory statutes.
• Process service requests, mail, and separate statements for Financial Advisors.
• Maintain updated insurance product information/forms and investment company prospectus library.
• Work with fund companies, insurance companies, and broker/dealer, as needed, on behalf of Financial Advisor.
• Review, process, and distribute opportunity lists, deceased notifications, FINCEN report, and other incoming emails received by investment services’ back office.
• Process incoming and outgoing mail for the department.
• Develop and maintain OSJ files according to the standards set forth by the regulators.

12. Assist in other Investment Services operational areas as needed. 

PHYSICAL SKILLS, ABILITIES, AND EXERTION UTILIZED IN THE PERFORMANCE OF THESE TASKS:

1.  Effective oral and written communication skills to interact with and follow up on member, nonmember, branch, broker/dealer, and fund company inquiries and concerns.

2.  Proper telephone etiquette skills.

3.  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.

4.  Travel as needed using personal or public transportation.

ORGANIZATIONAL CONTACTS & RELATIONSHIPS:

1. INTERNAL:  Branch and administrative management. Financial Services staff.
2. EXTERNAL:  Members, nonmembers, insurance companies, service providers, compliance agencies, broker/dealer and fund companies.

QUALIFICATIONS:

1. EDUCATION:  High School or GED required.  Associate’s or Bachelor’s degree desired.
2. EXPERIENCE:  Minimum 3 or more years in a financial institution or related business operation assisting in the delivery of financial products and services. 
3. KNOWLEDGE/SKILLS:

• Knowledgeable of field regulations, policies and compliance guidelines.
• 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.
• Professional (Verbal/Written Communication and Presence) outreach skills to identify and contact potential members through a variety of outreach strategies
• Good mathematical aptitude.

PHYSICAL REQUIREMENTS:

1. 1. Prolonged sitting throughout the workday with occasional mobility required.
   2. Corrected vision within the normal range.
   3. Hearing within normal range.  A device to enhance hearing will be provided if needed.
   4. Bending, stooping, and lifting up to twenty-five pounds.

LICENSES/CERTIFICATIONS:

THIS JOB DESCRIPTION IN NO WAY STATES OR IMPLIES THAT THESE ARE THE ONLY DUTIES TO BE PERFORMED BY THIS EMPLOYEE.   HE OR SHE WILL BE REQUIRED TO FOLLOW OTHER INSTRUCTIONS AND TO PERFORM OTHER DUTIES REQUESTED BY HIS OR HER SUPERVISOR THAT ARE WITHIN HIS / HER KNOWLEDGE, SKILL AND ABILITY AS WELL AS HIS / HER MENTAL AND PHYSICAL ABILITIES.

REV. 01/16/2025