Position Summary
The Investment Services Operations Associate will provide comprehensive administrative and operational support to SDCCU Investment Services financial advisors. In this role, the Investment Services Operations Associate will support both financial advisors and their end-clients with a focus on enhancing client relationships, managing, and resolving a wide range of account‑related operational inquiries and ensuring compliance with industry regulations.
The ideal candidate is proactive, detail‑oriented, and driven to excel in a fast‑paced environment. They must demonstrate a service‑first mindset and consistently deliver high‑touch, white‑glove support with professionalism, accuracy, and urgency.
Minimum Qualifications (Licenses, Education, Experience, Skills)
- 1 year of administrative or operational experience in the financial services industry
- High school diploma or equivalent. Bachelor’s degree in Finance, Business, Economics or a related field is highly preferred.
- Working experience with a CRM system (Salesforce preferred)
- Proficient with Microsoft Office
- Effective organizational skills and ability to manage multiple projects, establish priorities and meet deadlines.
- Effective interpersonal and communication skills and proven ability dealing with clients and staff.
- FINRA SIE, Series 6/7, and Series 63/65 preferred.
Essential Duties and Responsibilities
- Prepare and submit new account documentation, ensuring all required materials are complete for processing.
- Manage client inquiries including account notifications, cash management, RMD outreach, annual review scheduling, issue resolution, signing documents, and placing unsolicited trades.
- Manage the scheduling of client and prospect meetings.
- Coordinate and track rollovers and transfers (manual and ACAT) to ensure timely completion.
- Identify client needs and refer clients seeking financial guidance to advisors.
- Maintain operational excellence through ongoing training on policies, procedures, platforms, and service best practices.
Other Duties and Responsibilities
- Perform other duties as assigned.
Physical Demands and Work Environment
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 accommodation 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 use hands to finger, handle, or feel objects, tools, or controls and talk or hear. The employee is frequently required to stand and reach with hands and arms. The employee is occasionally required to walk; sit; climb or balance; 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, depth perception, and the ability to adjust focus.
The noise level in the work environment is usually moderate.
