Registered Investment Associate II (Anaheim, CA)

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We value and rely on the unique talents and contributions of our employees to absolutely excel in member engagement by Delivering Signature Experience.

Salary Grade:

156N

Salary Pay Range for This Position:

$31.58 - $45.80

POSITION SUMMARY:

The position provides support for Financial Advisors/Wealth Advisors. Increases the time Financial Advisors/Wealth Advisors can spend on business development activities by providing administrative support. This position blends member relationship management, investment operations, regulatory compliance, and technical proficiency, requiring a licensed professional with deep knowledge of financial instruments, CRM systems and financial planning workflows.. The position demands discretion, analytical acumen, strong interpersonal skills, and the ability to manage competing priorities in a highly regulated, fast-paced environment.

ESSENTIAL POSITION FUNCTIONS:

Performs a variety of functions, including the follow-up with the broker-dealer back office on pending transactions, preparing member documents, checking on the status of ACATS, trustee-to-trustee transfers, issuance of annuity contracts and trade settlements. Ensures all documents are properly delivered to OSJ, Deposit Operations and then to the carriers.

Communicates with members and prospects over the telephone to set up appointments for the Financial Advisors/Wealth Advisors, conducts preliminary member profiles, sends out information as requested and contacts referrals. Also coordinates meetings with Credit Union branch personnel on behalf of the Financial Advisors/Wealth Advisors.

Prepares meeting materials, investment proposals, performance reports and financial plans tailored to each members goals and risks profiles.

Assist in onboarding new members, including KYC, AML and suitability documentation.

Assists with product marketing and disclosure materials are up to date. Research client accounts and provide information to help appropriate personnel resolve member problems and complaints.

Assists and supports Financial Advisors / Wealth Advisors with the servicing of all investment and insurance accounts.

Execute equity, fixed income, mutual fund trades in accordance with member direction and advisor strategy.

Process money movements (ACH, wires, journal entries), account transfers (ACAT), required minimum distributions (RMDs) and beneficiary changes.

Ensure accurate and timely resolution of member issues including billing, tax reporting, corporate actions and account maintenance.

Support Advisor with prospecting and lead generation initiatives.

Prepare business reports, pipeline summaries, support practice management initiatives and follow-up on referrals from the branch.

Responds to incoming phone calls and emails from all members. Devotes approximately 25% of time to assist the Investment Services Supervisors when requested and supporting home office operational items.

EDUCATION, EXPERIENCE, SKILLS AND ABILITIES:

High School Diploma or Equivalent Experience required.

Previous financial industry and customer service experience preferred.

College degree preferred in Finance, Business Administration, Economics, Accounting or related field

Minimum 3-5 years of experience in the financial services or wealth management industry.

Experience working with high-net-worth clients is desirable.

Must hold active  Series 6, 63 plus Life & Health licenses

Preferred: FINRA Series 7, 65 or 66 plus CA DOI Life & Health licenses.

Progress toward additional designations strongly preferred such as Chartered Retirement Plans Specialist (CRPS) or Chartered Retirement Plans Conselor (CRPC)

Regulatory Compliance and Risk Management:

Monitor and adhere to firm-level and regulatory compliance processes and procedures (FINRA, SEC)

Assist with audits, branch inspections and documentation to ensure all transactions and communication are in accordance with regulatory guidelines.

Maintain appropriate licensing and continuing education as required by firm and governing bodies.

Exceptional written and verbal communication skills. Ability to understand and articulate the features and benefits of Wealth investment products and services.

Strong understanding of portfolio construction, asset allocation and capital markets.

High a