Wealth Mgmt Office Administrative Assistant

Job Description

JOB INFORMATION

Title:

Wealth Mgmt Office Administrative Assistant

Officer Title:

Grade:

16

FLSA Classification:

Non-Exempt

Date Last Edited:

6/12/2024

Reports To:

Manager Wealth Management Operations

Department:

Wealth Management

URL Link

https://hvfcu.jdxpert.com/ShowJob.aspx?EntityID=2&jobcode=984

PRIMARY FUNCTION

Provide administrative and clerical support to the Wealth Management office. Handle all administrative activities for the VP of Financial Services, AVP Operations, and Sales Assistants.

•

Answer phone in a professional and courteous manner while providing information about our services, referring caller to the appropriate Wealth Management Financial Consultant or HVCU department, answer operational inquiries with respect, tact and diplomacy.

•

Create and maintain client files, prepare all documents, applications, checks or forms for submission to broker/dealer to be imaged; follow up to ensure documents are clearly legible.

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Review, evaluate and process referrals within service level standards, create client record in CRM database, or enter into existing record, schedule appointment when possible, forward referral to appropriate Sales Assistant. Deliver CRS disclosure via phone or email in compliance with broker/dealer requirements. Enter notes into CRM management of all activity related to a client or prospect account.

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Manage and order Wealth Management department supplies.  Organize and maintain Wealth Management supply room.

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Maintain Wealth Management client correspondence and update information. Open and distribute daily mail, handle all incoming and outgoing faxes.

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Manage monthly reports for referral activity from HVCU employees sent to Wealth Management, integrate data into existing Excel spread sheets, formulate totals and submit final report to HVCU Human Resources department on a monthly basis.

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Arrange Wealth Management staff meetings. Schedule appointments and update event calendars.

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Adhere to all Credit Union policies, procedures, and regulatory agency requirements. Participate in all required and recommended training and development including, but not limited to, Bank Secrecy Act training (BSA) and demonstrate attained knowledge. Participate on Credit Union teams, projects and strategic initiatives when the opportunity arises. Perform additional duties and special projects as assigned.

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Embrace and apply HVCU’s guiding principles to all activities and responsibilities. This includes the Credit Union’s Mission, Vision, Core Values, Employee and Member Value Propositions, Sales and Service Model, and commitment to Lean Six Sigma practices. Support the Credit Union’s initiatives by demonstrating teamwork and professionalism.

•

Responsible for regular and predictable attendance including punctuality.

High School Diploma, General Education Development (GED) certificate, or state authorized high school equivalent certificate.

X

Series 6 or ability to attain within 12 months

X

Series 63 or ability to attain within 12 months

X

Minimum 1 Year

Administrative experience, preferably in a financial institution

X

•

Advanced verbal and written skills.

•

Maintain a high level of attention to detail and accuracy.

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Ability to understand and apply basic mathematical concepts.

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Must be able to handle internal and external customer concerns efficiently and effectively.

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Ability to work well collectively and autonomously.

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Basic proficiency in Microsoft Office Software (Word, Excel, Outlook, PowerPoint, etc.)

•

Ability to multi-task and handle varying deadlines within a fast paced work environment.

PHYSICAL DEMANDS

Frequency

Physical Demand

Weight (lbs.)

Frequently

Sit for prolonged periods of time

Frequently

Required to communicate verbally

Frequently

Normal range of vision and hearing abilities required

Occasionally

Lift and/or move objects

10

Occasionally

Travel outside of work location to attend meetings and training programs

Frequently

Required to skillfully operate a computer, telephone and other standard office equipment

Frequently

Mobility to stand and walk

Frequently

Mobility to push, pull and reach.

Frequently

Kneel, stoop, bend, climb, crawl

WORK ENVIRONMENT

•

Typically the noise level in the work environment is low to moderate.

•

May experience occasional job stress in dealing with difficult situations and/or high volume.

•

High energy, high impact atmosphere.

•

There are no significant hazardous conditions.

View Competencies

Sales Support and Administration

Knowledge of sales tasks, tools and procedures and the ability to support an organization's sales plan and process.

Level 2

1. Provides support to sales personnel according to their selling needs.

2. Responds to basic customer queries in a professional manner.

3. Prepares all oral and written materials, including contracts, proposals and presentations.

4. Maintains customer and sales-related documentation in line with record-keeping requirements.

5. Reports problems that are associated with sales administration.

OFFICE ADMINISTRATION

Ability to carry out ongoing office administration tasks effectively and efficiently in support of local and remote teams.

Level 2

1. Orders, stocks and distributes office supplies.

2. Operates and maintains standard office equipment such as copiers, faxes, phones.

3. Properly distributes internal and external correspondence to appropriate recipients.

4. Coordinates travel arrangements and expense reimbursements.

5. Arranges meetings, schedules rooms, equipment, refreshments, etc.

Service Excellence

Consistently incorporates Hudson Valley's member and employee value proposition, reinforcing organizational culture and brand differentiators.

Level 1

1. Anticipates and meets the needs of both internal and external customers. Delivers high quality service and is committed to continuous improvement.

2. Consults with management on modifying business processes to enhance service delivery. Monitors own work to ensure quality and apply feedback to improve performance.

3. Integrates core values into the way work is done and how relationships are conducted.

4. Possesses knowledge of customer service concepts and techniques; ability to meet or exceed customer needs and expectations and provide excellent service in a direct or indirect manner.

5. Tailors communications based on others’ needs, motivations and agendas.

Flexibility and Adaptability

Adapts as needed; knowledge of successful approaches, tools, and techniques for dealing with changes and adapting to a changing environment.

Level 2

1. Accepts new or radical ideas with an open mind; avoids snap reactions.

2. Adjusts to new or changing assignments, processes, and people.

3. Demonstrates ability to successfully manage multiple tasks and priorities.

4. Demonstrates willingness to listen to other opinions.

5. Identifies and considers alternative approaches to situations or problems.

Work Standards

Sets high standards of performance for self and others; assumes responsibility and accountability for successfully completing assignments or tasks.

Level 2

1. Documents how results were obtained to support knowledge transfer and best practices.

2. Helps others drive tasks to completion as appropriate.

3. Holds self and others accountable for delivering on all commitments.

4. Identifies actions necessary to achieve task completion and to obtain results. Meets schedules, deadlines, and performance goals.

5. Recognizes the need for assistance and secures additional resources as needed. Escalates issues and unusual findings that could have an adverse impact on the business.

6. Understands and appropriately applies principles, procedures, requirements, regulations, and policies related to role.

This job description is not designed to cover or contain a comprehensive listing of activities, duties, or responsibilities that are required of the employee in this position.  Additional functions and requirements may be assigned by supervisors as deemed appropriate, with or without notice.

Nothing contained in this material creates a contract of employment between an employee and Hudson Valley Credit Union or otherwise alters the at-will nature of the employment relationship.

Are you able to perform the essential functions listed in this job description with or without reasonable accommodation?  YES_______  NO_______

By signing below you certify that you have received this job description and understand the requirements, essential functions and duties of the position.  If you are currently employed in this position, your signature acknowledge that this job description accurately describes the position, including its essential functions.

Name:  _____________________________________________

Signature: _____________________________________________

Date:  _____________________________________________ 

Please also note that Hudson Valley Credit Union respects the religious beliefs and practices of employees and will, on request, reasonably accommodate its employees when a reasonable accommodation is available that does not create an undue hardship on the Credit Union’s business.  Therefore, unavailability for work due to religious observances or practices may not be a bar to employment.