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.

For more information on E-Verify, please click here: E-Verify Participation Poster English and Spanish

For more information on Right to Work, please click here: Right to Work

For more information on the Fair Chance Act, please click here: Fair Chance Act

Peak Credit Union is an Affirmative Action and Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, or protected veteran status and will not be discriminated against on the basis of disability. Equal Employment Opportunity Posters If you’d like to view a copy of the company’s affirmative action plan or policy statement, please email Careers@peakcu.org.

If you have a disability and you believe you need a reasonable accommodation in order to search for a job opening or to submit an online application, please e-mail Careers@peakcu.org. This email is created exclusively to assist disabled job seekers whose disability prevents them from being able to apply online. Only messages left for this purpose will be returned. Messages left for other purposes, such as following up on an application or technical issues not related to a disability, will not receive a response.

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When you apply to a job on this site, the personal data contained in your application will be collected by Peak Credit Union. Your personal data will be processed for the purposes of managing the Credit Union’s recruitment related activities, which include setting up and conducting interviews and tests for applicants, evaluating and assessing the results thereto, and as is otherwise needed in the recruitment and hiring processes. Such processing is legally permissible under state and federal law. Your personal data will be shared with Greenhouse Software, Inc., a cloud services provider located in the United States of America and engaged by the Credit Union to help manage its recruitment and hiring process. Your personal data will be retained by the Credit Union as long as the Credit Union determines it is necessary to evaluate your application for employment and as required under applicable state and federal law. Greenhouse is under contractual obligation to keep such information confidential, and the Credit Union’s privacy practices comply with all applicable state and federal laws.