Wealth Management Support Supervisor

Join Us in Making an Impact

At OneAZ Credit Union, our success is measured only by yours. We're here to create lasting change in the lives of our members, our communities, and our team. If you're looking for a career with purpose, where your work truly matters-you've found it!

Who You Are

You're impactful, compassionate, and fearless, ready to embrace new challenges and shape the future of financial well-being. You take accountability for our success and thrive in an environment where curiosity is celebrated. If this sounds like you, let's build something great together.

What You'll Do

This position will be located at our Corporate office: 2355 W Pinnacle Peak Rd, Phoenix, AZ 85027

The Wealth Management Support Supervisor is a trusted leader of the operations support team, acting as an initiative-taking and integral part of the growth and success of the Wealth Management department. The position provides support and mentorship to team members, is responsible for communicating with management regarding day-to-day operations, ensures resource availability and oversees the team's processes are functioning efficiently. The Wealth Management Support Supervisor is accountable for all back-office support of the Wealth Advisors, including building and maintaining prospective and current client relationships through excellent customer service, management of escalated issues, organization, attention to detail and overseeing the work duties of the support team. The role utilizes working knowledge of the investment industry, conducts necessary coaching conversations, ensures the resolution of account maintenance for clients, and completes administrative and operations duties.

• Carries out supervisory responsibilities in accordance with the organization's policies and applicable laws. Responsible for interviewing, hiring, and training associates; planning, assigning, and directing work; managing performance; rewarding and coaching associates; addressing complaints and resolving problems.
• Manages operations and tasks of support staff to ensure Wealth Advisors, Broker Dealer, internal associates, and externally contracted third party service business partners' issues are followed through to resolution.
• Takes and places securities orders from clients/members and Wealth Advisors.
• Reviews client onboarding documentation for accuracy and completion.
• Works with support associates to resolve client paperwork issues.
• Sets up and manages annual review lists for Member Relationship Associates to schedule.
• Specializes in a wide array of technical and operational subjects, in the investment & securities business, including, but not limited to, divorce and death claims process, complex retirement solutions, annuity, alternative investments, and insurance business.
• Reports and updates management of annual review completion.
• Assists support associates and Wealth Advisors in para planning for financial planning and reviews.
• Runs financial reporting for Wealth Advisors.
• Actively problem solves and maintains risk mitigation.
• Provides monthly list of annuities out of surrender for client reviews.
• Provides initial sales and referral reporting to management.
• Oversees correction of items deemed not-in-good-order by the broker dealer.
• Collaborates with management in the development of standard operating practices.
• Answers incoming calls, assists with client account update requests, and/or routes calls to the appropriate area.
• Ensures that investment services clients are contacted to schedule appointments, reviews, and confirm appointments.
• Completes profile referrals for qualification and arranges appointments with assigned Wealth Advisors.
• Monitors Wealth Management email inbox.
• Emails pre-screen questionnaires, thank you letters to prospects, and welcome packs to new clients.
• Checks mail and schedules FedEx/UPS pickups.
• Fosters teamwork, analytical thinking, and initiative among team members.
• Ensures that monthly non-electronic correspondence required by broker dealer is completed by/for all associated persons.
• Ensures that member referrals are up-to-date and are being processed by the advisor team.
• Ensures that that new clients are properly synchronized in core system and Customer Relationship Management (CRM) system.
• Ensures that paperwork has been sent to and received by appropriate parties in good order.
• Works with Wealth Management Marketing Coordinator in the implementation of ongoing marketing initiatives for the department.
• Assists in processing and resolving operational items, including not-in-good-order processing, status inquires, communication, and universal support for Wealth Advisors and the support team.
• A passion for people, innovation, and growth.
  
  What You Bring

• High School Diploma Required
• Bachelor's Degree Preferred
• 5 to 8 years of similar or related experience.
• Previous investment industry operations experience required
• Strong computer proficiency.
• Experience with Office Suite Software (e.g., Microsoft Word, Excel, PowerPoint).
• Experience with Customer Relationship Management (CRM) software preferred (e.g., Salesforce).
• Strong multi-tasing, attention-to-detail, and organization skills.
• Strong written and verbal communication skills.
• Ability to explain complex subjects in simpler terms to guide understanding to audiences with a diverse range of financial education levels.
• Must initially and continue to meet all standards and policies of our contracted broker dealer, LPL Financial.
• FINRA Licenses 7, 66, or 7, 63,65 Required
• Arizona Life and Health Insurance license. within 180 Days Required

Not sure if you meet every requirement? That's okay. We believe great talent comes from all backgrounds and experiences. At OneAZ, we value potential, passion, and purpose. If you're excited about this opportunity and believe in our mission, we encourage you to join our Talent Community