Financial Advisor

The Financial Advisor role at Kellogg Community Credit Union is an onsite position in Battle Creek, MI, focused on promoting investment services, processing securities transactions, and managing client relationships across branch offices.

Responsibilities

• Process securities orders to facilitate sales activity from receipt to execution.
• Qualify prospects and open new brokerage accounts for clients who do not require a personal Financial Advisor meeting.
• Lead the planning and execution of seminars, campaigns, and sales literature across the offices in their market.
• Design and oversee branch training and referral initiatives.
• Set up brokerage accounts and assemble all required documentation to open them.
• Handle cashing and booking of checks and stock certificates, ensuring compliance with legal requirements for stock certificates in brokerage accounts.
• Track and close all outstanding paperwork.
• Process journals between brokerage accounts.
• Coordinate with the corporate office to resolve issues.
• Establish and maintain mutual fund periodic investment plans and systematic withdrawal plans.
• Configure money movement arrangements, including ACH or EFT transfers, to settle trades.

Requirements

• A college degree or equivalent business experience is required; related experience may substitute for formal education.
• Securities licenses Series 7 and 63, plus a State Insurance License.
• Minimum of two years of experience in a related role.
• Clean U-4 on file.
• Customer relations and sales experience is required.
• Actual business experience in the field.
• Ability to learn the detailed requirements of the position.
• Participation in all required compliance training, including Bank Secrecy Act / anti-money laundering training, along with internal and external training programs, online courses, meetings, and seminars.