Financial Services Coordinator

Description

You spend more than half of your waking hours working. Make these precious, fleeting moments matter by working for an organization and a cause you can believe in.


Western Growers exists for one reason only: to ensure the future viability of its members - the hard-working, salt-of-the-earth farmers who grow the fruits, vegetables and tree nuts that feed our nation and nourish our bodies.


Our members depend on us to help them remain competitive and profitable as they face challenges that make it increasingly difficult and expensive to do business. Our goal is to fight for them- heart and soul -every single day. We passionately advocate, facilitate technological advancements and provide insurance for our members. We do all of this, and more, from a position of leadership in the agriculture industry. This mission requires a team of intelligent, inquisitive and innovative individuals connected for our common purpose.


The core company philosophy that strengthens our mission is that everything starts with people. Every employee of the organization has access to research-based training to encourage and support Outward Inclusion philosophy and our DEI initiatives. As an element of this training, employees are encouraged to recognize that there isn't a work life and a home life, there is one life. This recognition throughout the organization emphasizes the value of finding a healthy and happy balance in every employee's life. One way that is realized for employees of Western Growers is flexible work arrangements with work-from-home, in-office or hybrid options.


At Western Growers, we recognize and welcome the many qualities you can bring to the team.


Grow with us.


Compensation: $56,493.42 - $73,441.51 with a rich benefits package that includes profit-sharing

JOB DESCRIPTION SUMMARY

This position reports directly to the Vice President of Investments. It is responsible for assisting in all administrative matters in the sale and execution of financial services to individuals and businesses. This position has significant clerical duties; however, there is an additional obligation to assist the Chief Compliance Officer and the Financial Advisor's roles and responsibilities and function as extra assistance for both positions when needed.


QUALIFICATIONS

BA/BS in business, finance, accounting, or related field and two (2) to four (4) years' experience in a brokerage firm preferred.


Experience with Microsoft Office products.

Experience with Pershing and Schwab clearing services helpful.

Good knowledge of how the stock, bond, and Treasury markets operate.


Exceptional written and spoken communication skills.

Good understanding of the regulatory agencies, Financial Industry Regulatory Authority (FINRA), the Security Exchange Commission (SEC), and each respective compliance requirement for financial services brokerages.

Exceptional ability to prepare PowerPoint presentations, spreadsheets, letters, and/or email correspondence requesting personal information.

Ability to maintain strict confidence and operate with the highest ethical integrity.


Ability to be discreet, particularly when privy to the client's private and company financial assets.


Strong ability to manage competing demands, commitments, and other responsibilities.


DUTIES AND RESPONSIBILITIES

Administration

Assist co-workers by filing, storing, and recording client/customer account information.


Help fulfill administrative and regulatory obligations, including recordkeeping, meeting minutes (or notes), and documenting vital and pertinent information.


Document, write, test, and implement brokerage operations into written, desktop procedures.


Contact clients, brokers, traders, and staff at NWPS upon request of the VP.


Input data into Orion portfolio-performance measurement system and provide accurate performance vs. benchmark data for internal portfolios.


Monitor delivery and payment (DTC) between customers and custodians to affirm trades and settlement instructions.


Monitor trade blotter.

Update and maintain the department's calendar.


Upload trade reconciliation into Orion daily and ensure the data file is received for all accounts. Download all reports to show how each account performs relative to the benchmark.


Send reports to clients upon request and keep client plans and information up to date.

Capture contact information from interested parties into a CRM system.

Support the implementation of newly sold and/or converted 401(k) or 409A plans and maintain proper documentation while actively interacting with the plan sponsor and staff at NWPS.


Coordinate communication efforts for better prospecting, tracking, reporting, and RSP advisory board meetings.


Develop client communications and prepare packages for the VP's sales visits.


Participate in 401(k) open enrollment meetings as needed.

Compliance Support


Assist in opening all new accounts according to the proper procedure and protocol.


Become familiar with broker/dealer compliance responsibilities, regulatory examinations, the Licensed Registered Representative (RR), and Registered Investment Advisors (RIA).


Help prepare and co-conduct compliance training presentations and introduce new requirements.


Assist the Investment Compliance Officer and become familiar with OATS/CATS and TRACE reporting.


Assist in providing documentation to regulators and auditors during examinations.

Other


Utilize all capabilities to satisfy one mission - to enhance the competitiveness and profitability of our members. Do everything possible to help members succeed by being curious and striving to understand what others are trying to achieve, planning, and executing work helpfully and collaboratively. Be willing to adjust efforts to ensure that work and attitude are helpful to others, be self-accountable, create a positive impact, and be diligent in delivering results.

All other duties as assigned.


PHYSICAL DEMANDS/WORK ENVIRONMENT

The physical demands and work environment described here represent those an employee must meet to perform this job's essential functions successfully. Reasonable accommodations 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 communicate with others. The employee frequently is required to move around the office. The employee is often required to use tools, objects, and controls. This noise level in the work environment is usually moderate.