Administrative Assistant to Financial Advisor

Job Description

This is an in-person position with a branch location in Westminster, CO. Salary range is $22-$26 depending on experience and licensing. Minimum 1-year banking, investment, or insurance industry experience required. Associate degree or higher required. Administrative Assistant background preferred. FINRA license (SIE/Series 6/7) a plus, but not required.

We are seeking a dynamic administrative assistant to support multiple Executive Financial Advisors located in a high volume Credit Union branch. This position will perform high level administrative duties and provide client service and support for all investment related activities.

Responsibilities may include:

\n
• Processing paperwork for new investment accounts
\n
• Make outbound calls to warm leads to schedule appointments
\n
• Prepare reports and financial data
\n
• Ability to work well with all levels of internal management and staff, as well as outside clients and vendors
\n
• Track sales progress
\n
• Field telephone calls, receive and direct visitors
\n
• Support with events/projects, acting as an event coordinator and person of contact.
\n
• Troubleshoot minor technical and service issues
\n
• Maintain a FINRA compliant filing system with all records
\n
• Schedule appointments and maintain calendar
\n
• Communicate with members/clients in a positive manner (in-person, email, and telephone)
\n
• Practice high quality service standards in all interactions with clients, prospective clients and personnel in other departments within the credit union
\n
• Responsible for trade execution based on the advisor instructions
\n
• Administer branch referral contests and branch referral tracking; submit branch referral tracking logs to appropriate department
\n
• Demonstrate an understanding that the credit union offers financial services and investments through Osaic.
\n
• In order to meet the service needs of Financial Advisor and clients, job function may necessitate changes in location within nearby area.
\n

Skills and Experience

\n
• Administrative experience preferred
\n
• Associate's college degree or higher required
\n
• Minimum one year banking, investment firm, or insurance industry experience required
\n
• Possess solid product knowledge of financial products and services
\n
• FINRA SIE or Series 6/7 a plus, but not required
\n
• Ability to multitask
\n
• Strong computer and organization skills
\n
• Flexibility, excellent interpersonal skills
\n
• Applicant must be able to pass both a criminal and credit background check
\n

Job Type: Full-time

Pay: $22.00 - $26.00 per hour

Benefits:

\n
• 401(k)
\n
• 401(k) matching
\n
• Dental insurance
\n
• Health insurance
\n
• Life insurance
\n
• Paid time off
\n
• Retirement plan
\n
• Vision insurance
\n

Application Question(s):

\n
• Will you be able to commute to the Westminster, CO branch location?
\n

Experience:

\n
• banking, investment firm, or insurance industry: 1 year (Required)
\n

Work Location: In person

Company Description Osaic Institutions, Inc. is a member of FINRA/SIPC and provides investment and insurance products and services to clients through financial institutions. While Osaic Institutions partners with banks and credit unions, it operates as an independent entity and is not affiliated with these organizations. The products offered are not FDIC/NCUA insured, are not deposits or obligations of any bank or credit union, and are not guaranteed by these institutions. Offerings involve investment risk, including possible loss of value, which underscores the need for careful, informed support for clients and advisors.

Role Description The Administrative Assistant to Financial Advisor is a full-time, on-site role based in Westminster, CO. This role supports one or more financial advisors by managing daily administrative tasks such as scheduling appointments, maintaining client records, preparing documentation, and handling confidential information with care. The Administrative Assistant responds to client inquiries via phone and email, coordinates follow-up activities, and helps prepare materials for client meetings and presentations. The role also includes processing paperwork, organizing files, supporting compliance-related tasks, and collaborating with branch staff to ensure efficient, professional service. Consistent, reliable office presence and a focus on accuracy, organization, and client service are essential.

Qualifications

\n
• Candidates should possess strong Administrative Assistance and Clerical Skills, including scheduling, record management, and document preparation.
\n
• Candidates should demonstrate excellent Phone Etiquette and Communication skills, with a professional, clear, and courteous client-facing manner.
\n
• Candidates should have Executive Administrative Assistance capabilities, such as supporting advisor workflows, prioritizing tasks, and handling confidential information.
\n
• Relevant skills include proficiency with office software (e.g., Microsoft Office or similar tools), accurate data entry, and attention to detail.
\n
• Preferred qualifications include prior experience in financial services or banking, familiarity with basic investment and insurance terminology, and a high school diploma or equivalent; post-secondary education is a plus.
\n
• Candidates should be able to work on-site full time in Westminster, CO, demonstrate reliability, work both independently and as part of a team, and uphold high ethical and compliance standards.
\n