Associate Financial Advisor I

1 month ago
Job Title
Associate Financial Advisor I
Investment Services/Trust
Position Type
Regular Full-Time

BECU Opening Statement

How would you like to be part of an organization where member values and company values are one and the same? Whose culture encourages and expects employees to advocate for our members -- which has made us the most trusted and respected financial institution throughout the communities we serve and support. That’s BECU—where we put Members First.

We’re looking for dynamic, passionate, engaged employees who value doing what’s right to serve our members – and take pride in knowing that our success depends on everyone who comes to work with us each day.

BECU is one of the nation’s leading credit unions, serving our Members for over 80 years. We know our people are what make us special, and we seek to employ those who want to make a difference. If that’s you, then read on…


The Associate Financial Advisor I provides investment services and recommends investment and/or insurance products to BECU member clients. This person is pro-active in working with member clients with their planning needs, including portfolio reviews, analysis, and assessments. In more complex planning situations the member will be referred to a BECU Financial Advisor. The Associate Financial Advisor I is responsible for handling correspondence and records, and for maintaining files. This person is held to the highest standards of commercial honor under the FINRA Rules of Fair Practice when dealing with BECU member clients.


In this job, you will

• Perform all the responsibilities in accordance with BECU Competencies, compliance, regulatory and Information Protection requirements.
• Provide financial planning and investment advice including IRAs and 529 plans. Refer members and clients to BECU Investment Services Advisor, when prospective clients’ needs exceed the guidelines for an Associate Advisor.
• Determine and document the suitability of investment recommendations and a member's tolerance to investment risk.
• Engage in business development and member research activities that are assigned by management and/or financial advisors.
• Develop and market to existing book of business to increase service and sales.
• Meet sales production goals as determined by BECU Investment Services management through establishing relationships with members, identifying their needs and offering appropriate solutions.
• Provide excellent member service, consistent with BECU Investment Services objectives. Service existing clients, conduct periodic reviews and resolve client challenges.
• Interface with mutual fund companies, insurance companies, clearinghouse, and broker/dealer on behalf clients/member and prospects for any client need or service.
• Maintain and organize the Associate Advisor member/client files and records to comply with the requirements of all FINRA, Office of Supervisory Jurisdiction (OSJ), and Insurance Agency (Agency) regulators.
• Responsible for placing and processing trades.
• Mentor Financial Planner Administrative Assistants or BECU Investment Services employees through sharing of resource/reference information and procedures. .
• Perform additional duties as assigned.


• Bachelors’ degree in related field equivalent work or educational experience required. Bachelors’ degree in Business preferred.
• Minimum of 2 years of experience in the financial industry required.
• Series 7 and Series 66 (or 63 and 65) licenses required.
• Washington Life, Health and Disability Insurance License required.
• Thorough knowledge of all products and services offered by BECU Investment Services and a general knowledge of BECU products.
• Proficient PC skills, with a working knowledge of investment company software.
• Proficient verbal and written skills to effectively communicate in the English language.
• Excellent organizational and telephone skills, ability to handle multiple lines.
• Excellent time management, follow-through, attention to detail, and multi-tasking skills.
• Full time hours required, with additional hours as necessary
• Moderate travel by car and/or public conveyance for appointments with clients.

EEO Statement

BECU is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, veteran status, disability, sexual orientation, gender identity, or any other protected status.


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