Senior Client Service Representative

Department: Numerica Financial Services

Non Exempt; Range 10: $28.36 an hour to $42.56 an hour

Report To: President Numerica Financial Services

SUMMARY:

With the goal of enhancing lives, fulfilling dreams and building communities this role supports Registered Financial Advisors in the day-to-day management of their investment practice by delivering high-quality client service, maintaining regulatory compliance, and ensuring efficient account administration. This role enhances the client experience while upholding Numerica’s mission to build strong member relationships and communities.

ESSENTIAL DUTIES AND RESPONSIBILITIES include the following. Other duties

may be assigned.

To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

• Serve as primary liaison between Registered Financial Advisors and clients in accordance with FINRA, SEC, and BSA regulations.
• Provide professional, timely, and courteous service to clients via phone, virtual meetings, and in person.
• Assist advisors with trade entry as instructed, without providing recommendations or acting in an advisory capacity.
• Prepare client reviews, presentations, reports, charts, and illustrations.
• Open new accounts and process paperwork for new and existing business; follow up on documentation and outstanding items.
• Maintain accurate client records, files, and CRM notes in compliance with regulatory standards.
• Schedule and prepare for client review meetings based on service level agreements.
• Resolve routine client issues independently and escalate complex matters appropriately.
• Organize client events and manage related follow-up tasks.
• Prepare correspondence, reports, and promotional mailings using Microsoft Office applications.
• Maintain organized filing systems; scan, process, and retain critical documentation.
• Identify opportunities to improve workflow efficiency and support advisor operations.
• Handle permitted member transactions and paperwork within licensing authority.
• Maintains knowledge and adheres to all BSA regulations and compliance standards on internal and external policies.
• Effectively incorporates concepts of CARES Principles in daily behaviors and interactions:

Connect – Create meaningful relationships

Ask – Be intentionally curious

Resolve – Actively seek solutions

Elevate – Never stop improving

Strengthen – Be the difference

SUPERVISORY RESPONSIBILITIES:

This position has no formal, direct supervisory responsibilities although will work with leaders and peers in the organization to drive results. Ability to provide informal mentoring to junior staff.

PERFORMANCE STANDARDS:

Contributes to the organization's mission statement and goals by providing the highest quality of service, treating each person professionally - with warmth, courtesy, and respect, and making a personal effort to make members feel they belong and are important to the credit union.

This position requires a high level of professionalism, integrity, organization, and attention to detail, strong interpersonal, communication, and judgment skills, solid understanding of credit union operations and the investment industry, and commitment to exceptional member service.

EDUCATION and/or EXPERIENCE:

Bachelor’s degree in a related field plus 4 to 6 years investment experience preferred; or a combination of education and previous investment experience. Must be proficient in Microsoft including Word, Excel, Outlook, and Access.

CERTIFICATES, LICENSES, REGISTRATIONS:

Series 7, Series 63 and 65 (or Series 66) and Idaho/Washington State Life license preferred.

SKILLS and ABILITIES:

Ability to read and comprehend simple instructions, short correspondence and memos. Ability to write simple correspondence. Ability to effectively present information in one-on-one and small group situations to members, outside vendors, and other employees of the credit union.

Courtesy, tact, and diplomacy are essential elements of the job. Work involves much personal contact with others inside and/or outside the organization, generally regarding routine matters for purposes of giving or obtaining information, which may require some discussion.

Ability to operate standard office equipment and telephone systems. Ability to navigate and research on the Internet and locate various websites. Ability to lift up to 25lbs.

Disclaimer: The job description doesn’t imply an employment contract, nor is it intended to include every duty, task or instruction for which the employee is responsible. Other tasks may be assigned, based on business need and at Management’s request.

https://www-files.numericacu.com/production/documents/careers-employee-benefits-numerica.pdf

Numerica Credit Union is an Equal Opportunity/Affirmative Action Employer

Numerica Credit Union provides equal employment opportunities to all employees and applicants for employment and prohibits discrimination and harassment of any type without regard to race, color, religion, age, sex, national origin, disability status, genetics, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by federal, state or local laws.

If you are a qualified individual with a disability or a disabled veteran, you have the right to request a reasonable accommodation for purposes of participating in the application/hiring process with Numerica Credit Union. If you are unable or limited in your ability to use or access Numerica Credit Union’s career page at www.numericacu.com as a result of your disability, you can request reasonable accommodations by calling (509) 385-1660.