Investment Assistant/Program Coordinator

Position Summary

The Investment Assistant/Program Coordinator provides administrative, operational, and client service

support to the bank’s investment and brokerage department. This position plays a key role in ensuring

a smooth client experience by coordinating daily activities between financial advisors, clients, and

back-office operations. While this is a non-licensed position, it requires strong financial awareness,

attention to detail, and a high level of professionalism.

Key Responsibilities

Client Service & Relationship Support

• Serve as the primary point of contact for clients regarding scheduling, paperwork status, and general

inquiries (not investment advice).

• Prepare and process client paperwork for new accounts, transfers, and service requests.

• Assist in gathering and organizing client documentation and signatures for account maintenance.

• Follow up with clients to ensure timely completion of required forms or disclosures.

• Support Financial Advisors in delivering a high-quality client experience.

Operational & Administrative Support

• Coordinate daily office operations, including maintaining client files (electronic and paper) in

compliance with firm and regulatory standards.

• Input and track account information in ClientWorks and other internal systems.

• Assist with data entry for account activity, transfers, and reports.

• Manage calendars, schedule client meetings, and prepare meeting materials.

• Handle correspondence, scanning, filing, and other administrative duties.

Compliance & Recordkeeping

• Ensure all documentation is complete, accurate, and compliant with firm policies and FINRA/SEC

requirements.

• Monitor pending applications, transfers, and service requests to ensure timely follow-through.

• Maintain awareness of privacy, data security, and internal audit standards.

• Understand and support all BSA/AML responsibilities as applicable to the position as well as consistently, accurately, and timely carry out these responsibilities in compliance with the Bank’s internal policies.

Program Coordination

• Assist with marketing and client outreach initiatives, such as event coordination, email campaigns,

and mailing lists.

• Support reporting for management, including pipeline, referral, and revenue tracking.

• Collaborate with bank staff to facilitate internal referrals and enhance communication between

departments.

• Help onboard new advisors or staff as needed by providing procedural training and resource

coordination.

Qualifications

• Education: High school diploma or equivalent required.

• Experience: 1–3 years of experience in banking, brokerage operations, or administrative support.

• Licenses: None required; however, familiarity with investment products and FINRA regulations is

preferred.

• Skills: Strong organizational and time-management abilities; excellent communication; attention to

detail; proficiency with Microsoft Office and CRM systems; confidentiality; teamwork.

PHYSICAL DEMANDS:  The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

While performing the duties of this job, the employee is regularly required to sit; use hands and fingers to operate office equipment such as keyboards, telephones, etc. and to talk and hear.  The employee frequently is required to reach with hands and arms.  The employee is occasionally required to stand; walk; and stoop, kneel, crouch, or crawl.  The employee must occasionally lift and/or move up to 25 pounds.  Specific vision abilities required by this job include close vision, distance vision, color vision, peripheral vision, and ability to adjust focus.

WORK ENVIRONMENT: 

The work environment characteristics described here are representative of those an employee encounters while performing the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

The noise level in the work environment is usually moderate.

Equal Opportunity Employer, including disability and protected veteran status.