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Investment and Financial Planning Consultant

2 months ago

Raleigh, North Carolina, United States State Employees' Credit Union Full time

Join Our Team at State Employees' Credit Union

Objective

As a Financial Advisory Services Specialist, you will play a crucial role in providing tailored advisory and planning solutions to our members. Your focus will be on areas such as insurance, investment strategies, trust services, estate management, and retirement planning. The goal is to assist members in identifying their financial aspirations and securing the necessary products and services to achieve these objectives, while also ensuring ongoing support to maintain their financial plans.

Role Overview

FAS Specialist – This role primarily involves aiding members in understanding and managing their investment accounts, life insurance policies, and annuity products.

FAS Specialist I – In addition to product delivery, this position entails a more proactive advisory role, assisting members in managing their investments and financial products to align with their overall financial strategy.

Senior FAS Specialist – Beyond product delivery and advisory duties, this position provides comprehensive planning services to help members navigate various life stages, ensuring that their financial plans remain aligned with their evolving needs. The Senior FAS Specialist also supports the FAS District Manager with supervisory and training responsibilities.

All specialists collaborate closely with the FAS District Manager and other local experts to ensure effective delivery of Financial Advisory Services.

Key Responsibilities

  • Assist members in acquiring and managing FAS products and accounts to meet their financial objectives.
  • Engage with other specialists as necessary to address complex scenarios and ensure holistic member support.
  • Effectively manage referrals to connect members with qualified FAS professionals.
  • Maintain regular communication with the FAS District Manager regarding activities and outcomes in your designated area.
  • Perform additional tasks as assigned.

Qualifications by Role

FAS Specialist

  • Must possess one of the following:
    • Four-year degree
    • CCUE Certification
    • Associate of Arts or Associate of Science degree via the North Carolina College Transfer Program (NC-CTP)
    • Existing investment licensing (minimum of Series 6 or 7 preferred)
  • If unlicensed or partially licensed in investments, must pass the following licensure/designation exams within 6 months of hire/registration with FINRA:
    • Life Insurance
    • Securities Industry Essentials (SIE)
    • Series 7/66 (Applicant may be allowed to complete the Series 6/63/65 set of exams if already partially licensed on this path.)
  • Some experience as a licensed Insurance, Investment, or Trust Representative is preferred.

FAS Specialist I

  • Requirements for applicants that are NOT CFP certificants:
  • Four-year degree OR CCUE Certification OR Associate of Arts or Associate of Science degree via the North Carolina College Transfer Program (NC-CTP)
  • Life insurance license
  • Investment licenses (SIE/Series 6/63/65 OR SIE/Series 7/66) OR Accredited Trust Fiduciary Advisory (ATFA) designation
  • 2+ years' experience as a licensed Insurance, Investment, and/or Trust Representative
  • Requirement for applicants that ARE CFP certificants
  • 2+ years' experience as a licensed Insurance, Investment, and/or Trust Representative
  • If unlicensed or partially licensed in investments, must pass the following licensure/designation exams within 6 months of hire/registration with FINRA:
    • Life Insurance
    • Securities Industry Essentials (SIE)
    • Series 7/66 (Applicant may be allowed to complete the Series 6/63/65 set of exams if already partially licensed on this path.)
  • Must demonstrate the ability to act in an advisory capacity by making informed recommendations and assisting members with managing their investments and other financial products based on stated and changing needs.
  • Some credit union experience preferred.

Senior FAS Specialist

  • Requirements
    • Four-year degree OR CCUE Certification OR Associate of Arts or Associate of Science degree via the North Carolina College Transfer Program (NC-CTP)
    • Life insurance license
    • Investment licenses (SIE/Series 6/63/65 OR SIE/Series 7/66) OR Accredited Trust Fiduciary Advisory (ATFA) designation
  • 5+ years as an investment or trust representative.
  • Highly proficient in acting in an advisory capacity.
  • Exhibits the ability to assist members with comprehensive financial planning, considering various financial planning topics to help members identify goals and objectives before developing, maintaining, and periodically reviewing their plan.
  • Some credit union experience preferred.

General Requirements for All Specialists

  • Must possess an aptitude for building relationships and earning the trust of members and colleagues.
  • Ability to adapt quickly to changes in daily work based on immediate needs.
  • Strong multi-tasking and organizational skills are essential.
  • Maintain confidentiality of member information.
  • Willingness to work additional hours when necessary to fulfill responsibilities.
  • Complete training and educational modules as directed by management.
  • Fluency in English is required.
  • Ability to collaborate effectively with colleagues.
  • Maintain a cordial demeanor in all interactions with members and co-workers.
  • Adhere to the established work schedule and attendance policy.
  • Regional travel may be required; must possess a vehicle and valid driver's license.

Work Environment

Office setting with close proximity to other employees. Some background noise from colleagues and office equipment. Certain tasks may be performed at off-site locations.

Physical Requirements

Must be able to understand and execute verbal and written instructions.

Job involves sitting (50%), walking (25%), and standing (25%) of the time.

Use of hands and fingers to operate a computer keyboard for data entry and retrieval.

Must communicate clearly to address member inquiries.

Active listening skills are necessary to determine the services required by each member.

Climbing stairs may be necessary in multi-level branches. Visual acuity is required for documentation tasks.

Must be able to lift up to 5 pounds.

State Employees' Credit Union is an equal opportunity employer, providing employment opportunities to all qualified individuals regardless of race, color, religion, age, sex, sexual orientation, gender identity, national origin, genetic information, disability, veteran status, or any other classification protected by law.