Wealth Management Support Specialist

Role:

The Wealth Management Support Specialist provides administrative, operational, and member support for the Wealth Management program at ORNL Federal Credit Union. This role assists members and clients in a courteous and professional manner, assists Wealth Advisors with daily tasks, promotes the program to employees and members, and ensures compliance with industry regulations. The Support Specialist works alongside both the Advisors and the Program Manager while contributing to strategic growth initiatives that enhance the Credit Union's financial planning services and product offerings.

Essential Functions and Responsibilities:

• Support to Wealth Advisors: Collaborates with Wealth Advisors to manage their book of business, including onboarding new clients and opening accounts. Executes money movements, fee collections, and other service-related functions for client accounts. Reviews member account activities daily to ensure accuracy, proper settlement of transactions, and account reconciliation. Maintains CRM database and client records with accurate, up-to-date information. Conducts proactive outreach and outbound calls to enhance client service and engagement. Coordinates and leads client appreciation events for Advisors’ clients. Provides general account information, picks up or receives member information and answes licensed approved questions when needed. Ensures compliance with broker-dealer requirements for Financial Consultant activities. Assists with analysis of accounts and products; answers general member related account questions. Profiles members for needs, cross-sell opportunities, and insurance products. Engages in proactive selling activities under Wealth Advisor oversight. Assists Advisors in creating member presentations and support educational events and financial education sessions.
• Administrative & Compliance Responsibilities: Manages internal referral tracking system, filing, document processing, provides a schedule for existing member annual reviews, and service-related requests. Maintains specific assigned reporting functions provided by the Program Manager. Ensures all activity complies with SEC/FINRA and internal compliance regulations and guidelines. Understand and apply policies, procedures, and industry regulations.
• Process Improvement & Collaboration: Solicits feedback from internal and external business units to improve cross-departmental processes. Assists in member service-related process improvement initiatives and provide subject matter expertise. Serves as a resource to less experienced team members as needed.
• Training & Education: Participates in ongoing staff training and member education opportunities.
• Performs other job-related duties as assigned.

Experience:

• Minimum 1 year of experience in banking, investment, or Wealth Management industry. Administrative or client service roles supporting financial advisors or wealth managers. Required
• Familiarity with financial planning software and portfolio management systems. Compliance and documentation processes in financial services. Strong skills in customer service, scheduling, time management and relationship management. Microsoft Office Suite and CRM tools. Previous experience in financial services or administrative support preferred. Salesforce experience preferred. Preferred

Education:

• High School Diploma or GED Required
• Associates Degree or Bachelor’s degree in Finance, Business Administration, Economics, or a related field. Preferred
• Certification/License Must pass the TN Life and Health Insurance exams within 12 months of hire date. Required

Other Skills Required:

• Strong interpersonal and communication skills.
• Ability to manage multiple priorities and maintain attention to detail.
• Proficiency in Microsoft Office Suite and scheduling tools.
• Familiarity with compliance standards (SEC/FINRA) and financial services processes.

Required for All Jobs

• Follows Credit Union policies and procedures as well as applicable laws and regulations.
• Maintains a record of attendance and timeliness in keeping with the Credit Union's attendance policy.