Senior Licensed Financial Advisor Assistant

To maintain a strong connection with our members and local communities and better understand their unique needs, we are currently considering applications from candidates residing in Oregon and Washington for all open positions. We appreciate your understanding as we focus our hiring efforts in these specific regions. And, we encourage all qualified candidates from these states to apply, as we look forward to learning more about your unique skills and experience!

• Serves as a primary liaison between clients and Financial Advisors, independently processes permitted client requests, resolves routine and moderately complex service issues within established authority, and escalates advisory, supervisory, or compliance matters appropriately.
• Provides professional, timely, and courteous service by phone, email, virtual meeting, and in person.  
   
• Owns the account-opening and maintenance process from application preparation through client delivery for securities and insurance accounts, including taking applications as requested, validating paperwork, tracking status, obtaining missing information, coordinating with internal

  and external partners, confirming receipt of funds, and ensuring the client file is complete and audit-ready.  

   
• Maintains complete, timely, and accurate records of client, prospect, and vendor interactions in the CRM, including contact history, service actions, referrals, and outstanding commitments. Reviews dashboards and exception reports daily, prioritizes unresolved items, coordinates resolution, confirms completion, and documents actions in accordance with record-retention and regulatory requirements.  
   
• Leads the operational preparation for financial-planning, annual-review, quarterly-review, and other client meetings by coordinating client data, balance sheets, investment-allocation summaries, agendas, illustrations, account documentation, charts, graphs, added-service materials, and outstanding service items.  
   
• Partners with Financial Advisors or firm principals after client meetings to document decisions, assign and prioritize follow-up actions, monitor deadlines, communicate status, and ensure commitments are completed or escalated.  
   
• Processes permitted equity, fixed-income, mutual-fund, and variable-annuity transactions under advisor direction and within licensing and supervisory authority. Verifies required documentation, follows established controls, monitors completion, and supports the timely fulfillment of annual required minimum distribution and advisory-review workflows without providing recommendations or acting in an advisory capacity.  
   
• Organizes and retains statements, client information, and related documents in accordance with established filing, record-retention, privacy, and information-security procedures.  
   
• Coordinates client calls, emails, and other communications; independently addresses permitted requests, researches and resolves service issues within established authority, communicates actions and status to the Financial Advisor, and records complete notes in the CRM.  
   
• Prepares and inputs data into retirement plan forms and asset allocation programs.  
   
• All other duties as assigned.  

• Knowledge of securities, insurance, retirement, and wealth management products, services, and regulatory requirements, including FINRA, SEC, and state insurance regulations.  
   
• Skill in managing complex client-service and account-administration activities, including account opening, maintenance, documentation, and issue resolution.  
   
• Skill in preparing, reviewing, and maintaining accurate financial, transactional, and regulatory documentation in accordance with compliance and record-retention standards.  
   
• Ability to independently coordinate and prioritize multiple workflows, deadlines, and service commitments while maintaining a high level of accuracy and attention to detail.  
   
• Strong client relationship and communication skills, with the ability to effectively interact with clients, Financial Advisors, vendors, and internal business partners.  
   
• Ability to identify, research, resolve, and appropriately escalate operational, service, and compliance issues using sound judgment and established procedures.  
   
• Ability to support audit, compliance, trading-support, and financial-planning operations while ensuring adherence to regulatory requirements, internal controls, and service standards.  

Peak Credit Union participates in E-Verify. We use E-Verify to confirm the identity and employment eligibility of all persons hired to work in the United States.

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