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ID 1820
Location US-KS-Leawood
Category Wealth Management
Type Full-Time
Summary
Copper Financial is a FINRA registered broker-dealer and SEC RIA, owned by CommunityAmerica Credit Union, one of the nation’s largest credit unions based in Kansas City. We are an innovative organization dedicated to providing wealth management services to other credit unions throughout the country to help meet every member’s unique financial needs.
The Client Service Associate serves as sales support and coordinator for the Wealth Management division in an effort to increase productivity of registered representatives and overall program.
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Duties & Responsibilities
Requirements
- Act as internal and external “ambassador” in building recognition and awareness for the investment program.
- Handle routine customer inquiries; effectively work with the back-office support personnel at vendors and broker-dealer to ensure a high degree of quality service and customer satisfaction. Report specific problems to Program Manager on an as needed basis.
- Contact prospective clients and schedule appointments for Wealth Advisor.
- Process paperwork and trades for assigned clients.
- Make follow up calls to clients that receive marketing material.
- Ensure updated supplies of prospectus and approved advertising materials are available.
- Set up and maintain client files with appropriate information and in accordance with FINRA compliance standards.
- Keep all securities and insurance licensing current through successful completion of Continuing Education Requirements.
- Input financial planning data into financial planning software for Financial Advisors on an as needed basis.
- Stay abreast of the investment tools and services available that are designed to help position the rep as a trusted advisor (financial planning tools, data aggregation tools, etc).
- Provide research information to registered representatives on an as needed basis (i.e. cost basis information, product research, etc.).
- Promote honest and open communication throughout the credit union.
- Demonstrate behaviors that are consistent with the credit union’s values, philosophies, and leadership characteristics.
- Work with other credit union departments to ensure the workflow or process is providing the best service to the members.
- Perform other duties as assigned.
Requirements
- Ability to communicate successfully and in a professional manner with clients, above average math aptitude, excellent oral and written communication skills, excellent decision making and problem-solving skills, superior amount of computer literacy and proofreading capabilities and strong organizational skills.
- Excellent working knowledge of CU products and services, as well as life insurance, annuity, and securities products. Proficient in operational procedures related to customer accounts. Strong practical understanding of general economic principles relating to all aspects of personal finance.
- Series 7, and Series 66 preferred, or the ability to obtain during employment.
- Patience, empathy and tact, confidentiality, initiative, ability to work in stressful situations, friendly, outgoing and professional personality, ability to be flexible.
- Ability to resolve interpersonal conflict and miscommunications.
- Must be able to be bonded.
- Minimum 2-3 years of experience in the financial services field preferred.
Equal Opportunity/Affirmative Action Employer Disabled/Veterans
ID 1920
Location US-KS-Lenexa
Category Operations
Type Full-Time
Summary
The Head of Compliance role is responsible for all aspects of the compliance program of Copper Financial Network, LLC (“Copper”), a FINRA registered broker-dealer, SEC Registered Investment Adviser, and insurance agency. Copper Financial offers investment products and services to members of its parent company, CommunityAmerica Credit Union. Copper also offers investments to members of unaffiliated credit unions across the United States.
The Head of Compliance will report to the Chief Operating Officer/Chief Compliance Officer and is an important member of the Copper leadership team. We are seeking a proven compliance professional who will have full responsibility for all aspects of Copper’s compliance program (in conjunction with the CCO) and will work closely with dedicated Compliance staff, financial professionals, and other departments and leaders within Copper. Strong candidates should have a focus on mitigating risk while supporting all aspects of Copper’s business, ensuring open communication and enforcing a strong culture of compliance. A successful candidate will balance consistently meeting high standards and making prudent business decisions while meeting deadlines.
Duties & Responsibilities
- Responsible for creating and amending written supervisory procedures designed to ensure compliance with applicable regulatory requirements and mitigate risk.
- Lead the day-to-day Compliance activities, including but not limited to, advertising review, anti-money laundering compliance, branch inspections, complaints, required compliance training, account surveillance, Code of Ethics, and vulnerable adult cases.
- Full ownership of tracking, researching, and implementing policies and procedures related to new or amended laws and regulations governing Copper’s business.
- Provide compliance guidance and support to Copper leadership and project teams related to strategic initiatives.
- Collaborate with and provide guidance to other departments on compliance matters.
- Develop and implement periodic testing of written supervisory procedures to identify any deficiencies or areas of improvement. Work with various internal stakeholders to address items identified.
- Develop and maintain reporting on key risks and trends related to Copper’s compliance program.
- Lead and coordinate with departments during regulatory exams and inquiries.
- Make recommendations to CCO on escalated compliance risks and issues.
- Responsible for maintenance and distribution of regulatory disclosures (e.g., Regulation Best Interest disclosure, Form CRS, ADVs, etc.).
- Identify enhancements to existing compliance tools and identify and implement new systems and tools to support Copper’s compliance program.
- Manages compliance professional. Responsible for coaching and developing team members to full potential while holding team accountable to deliver quality performance.
- Demonstrate behaviors that are consistent with Copper’s’ values, philosophies, and leadership characteristics and reinforce a strong culture of compliance.
- Other projects and other duties as assigned.
Requirements
Education and Experience
- Bachelor’s degree required. Advanced degree or industry certification preferred.
- 8+ years of broker-dealer and/or RIA compliance, supervisory, or regulatory experience.
- Management experience strongly preferred.
- FINRA Series 7, and 24 required. Series 63/65 or 66 required within six months of hire.
Knowledge, Skills and Abilities
- Requires strong working knowledge of laws and regulations as established by FINRA and the SEC pertaining to investment firms, including anti-money laundering rules, and experience leading and implementing rule changes.
- Strong product knowledge of broker-dealer, investment adviser and life and annuity insurance products.
- Experience with electronic communication archive and supervision systems a plus.
- Ability to analyze complex information and make decisions based on solid understanding of FINRA and SEC requirements and firm procedures.
- Strong organizational planning skills with the ability to establish strategic direction, outline key objectives and priorities in support of that vision, and manage multiple complex projects simultaneously.
- Excellent written and oral communication skills with strong ability to effectively influence while providing advice and guidance.
- Organized self-starter with the ability to manage work autonomously and complete work timely and with a high degree of quality.
- Exceptional analytical and investigative skills with capability to identify and analyze compliance issues.
- Strong attention to detail and excellent problem-solving skills.
- Risk mitigation mindset when reviewing information with a focus on collection of appropriate information, development of action plans and communication risks and appropriate next steps.
- Experience with implementing systems and tools.
- Ability to manage change within the organization.
- The ability to synthesize information across multiple divisions and communicate effectively with the senior leadership team. Ability to operate at all levels of the organization to both motivate and influence others.
- Ability to lead, motivate, and develop a team of professionals promoting employee morale and a culture of positivity and inclusiveness.
- Track record of quickly learning and leveraging various pieces of software and proficiency in Microsoft Office Suite (Word, Excel, Project, PowerPoint)
- Ability to resolve interpersonal conflict and miscommunications.
Equal Opportunity/Affirmative Action Employer Disabled/Veterans
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ID 1994
Location US-KS-Lenexa
Category Operations
Type Full-Time
Summary
Copper Financial is a FINRA registered broker-dealer and SEC RIA, owned by CommunityAmerica Credit Union, one of the nation’s largest credit unions based in Kansas City. Copper Financial is dedicated to providing wealth management services to CommunityAmerica as well as other credit unions throughout the country to help meet every member’s unique financial needs. To learn more about our innovative organization, visit our website here.
The Operations Specialist works in a team environment reporting to the Operations Manager. Operations strives to provide a high level of prompt and accurate service to our internal and external clients and ensure overall smooth and successful operations of the business. Strong candidates are analytical, collaborative, multi-taskers with good communication skills who have the ability to be extremely flexible with tasks and responsibilities in balance with on demand issues.
Duties & Responsibilities
- Quickly and accurately identify representative needs and share the appropriate resolution to their cases, questions and issues adhering to SLAs
- Provide support to General Operations as staffing needs require. Responsible for competency in all operational pursuits so as to be a resource to registered representatives and sales assistants on any topics involving operational issues.
- Facilitate all brokerage servicing including account opening, account maintenance, trading and asset movements.
- Track and research issues related to transfers, accounts, or other processing activities to ensure prompt issue resolution.
- Facilitate onboarding, termination and ongoing maintenance processes for broker-dealer associated persons including but not limited to FINRA CRD filings for individuals, onboarding paperwork, insurance licensing, carrier appointments, and book of business maintenance.
- Regularly review internal systems to ensure consistency of data and processes.
- Serve as a vital liaison between Copper Financial and clearing firm and other product and service providers.
- Promote honest and open communication throughout Copper Financial.
- Demonstrate behaviors that are consistent with the organization’s values, philosophies, and leadership characteristics.
- Act as internal and external “ambassador” in building recognition and awareness for the investment program.
- Perform other duties as assigned.
Requirements
Education and Experience
- FINRA SIE, S7 and S66 required or must obtain within six months of hire date.
- Associates degree or higher preferred in business administration or related field or commensurate experience in the industry.
- Two years of broker-dealer operations experience strongly preferred.
Knowledge, Skills and Abilities
- Familiar with FINRA Gateway, NIPR, SBS, Sircon, and other licensing portals.
- Brokerage Operations & Customer Service
- Intermediate Microsoft Office Skills (e.g. Excel, Word, Access)
- Highly organized and accountable with the ability to multi-task.
- Strong analytical skills with high attention to detail and accuracy
- Self-starter with the ability to define clear objectives relating to ever-evolving challenges.
- Strong resolution skills and able to follow-up and follow-through.
- Willingness to take ownership of issues and ability to discern which problems warrant escalation to management.
- Ability to apply principles of logical thinking to define problems, collect data, establish facts and draw valid conclusions; must be able to deal with abstract and concrete variables.
- Excellent interpersonal skills to include oral and written communication.
- Ability to handle confidential matters with discretion and in a professional manner.
- Demonstrated flexibility and the ability to work as a member of a team.
- Ability to resolve interpersonal conflict and miscommunications.
- Ability to interact with all levels of management.
- Must be able to be bonded.
Equal Opportunity/Affirmative Action Employer Disabled/Veterans
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Wealth Advisor
ID 1987
Location US-MO-St. Louis
Category Wealth Management
Type Full-Time
Summary
CommunityAmerica Credit Union and Copper Financial are growing and expanding in St. Louis and this is an exciting opportunity for a Wealth Advisor to help us build our presence in this market. The Wealth Advisor is responsible for developing customized financial plans, making investment recommendations, and supporting our members in achieving their long-term financial goals.
Copper Financial is a FINRA registered broker-dealer and SEC RIA, owned by CommunityAmerica Credit Union, one of the nation’s largest credit unions based in Kansas City. We are an innovative organization dedicated to providing wealth management services to other credit unions throughout the country to help meet every member’s unique financial needs.
Duties & Responsibilities
- Analyze investment strategies and make recommendations to members based on their unique financial goas and risk tolerance.
- Meet or exceed sales productions goals to ensure revenue projections are met.
- Stay up-to-date on the latest investment tools and services available to maximize performance.
- Ensure business activities and investment recommendations are in compliance with rules and regulations.
- Make outbound calls to members from various lead lists.
- Generate referrals from credit union employees and attend credit union functions and community events.
- Promote open and honest communication throughout the credit union and demonstrate behaviors that align with the credit union’s values, philosophies, and leadership characteristics.
- Collaborate with other departments to ensure the workflow or process provides the best service to the members.
Requirements
Education and Experience
- Bachelor’s degree and two or more years’ experience in a related investment role is required.
- FINRA Series 7 & 66 strongly preferred, 63 & 65 licensing can be in place of 66.
- Previous investment experience in a bank or credit union environment is preferred.
Knowledge, Skills and Abilities
- Strong knowledge of managing financial investments and appropriate investing regulations.
- Knowledge of credit union operations.
- Excellent customer service skills, including follow-up, as needed.
- Strong analytical and problem solving skills. Ability to collect data, establish bacts and draw valid conclusions. Must be able to manage abstract and concrete variables.
- Ability to communicate effectively in writing and orally.
- Knowledge of spreadsheet and word processing software.
Equal Opportunity/Affirmative Action Employer Disabled/Veterans
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Wealth Advisor
ID 1714
Location US-KS-Leawood
Category Wealth Management
Type Full-Time
Summary
This position is responsible for helping members achieve their long term financial goals by developing customized financial plans and making investment recommendations to support that plan.
Duties & Responsibilities
- Analyze investment strategies and make recommendations to members.
- Achieve sales/production goals to ensure revenue projections are met.
- Stay abreast of the investment tools and services available that can maximize performance.
- Ensure business activities and investment recommendations are in compliance with rules and regulations.
- Make outbound calls to members from various lead lists.
- Generate referrals from credit union employees.
- Attend credit union functions and other community meetings, as necessary.
- Promote honest and open communication throughout the credit union.
- Demonstrate behaviors that are consistent with the credit union’s values, philosophies, and leadership characteristics.
- Work with other credit union departments to insure the workflow or process is providing the best service to the members.
Requirements
Education and Experience
- Bachelor’s degree and two or more years experience in a related investment role is required.
- FINRA Series 7 & 66 strongly preferred.
- 63 & 65 licensing can be in place of 66.
- Previous investment experience in a bank or credit union environment is preferred.
Knowledge, Skills and Abilities
- Strong knowledge of managing financial investments and appropriate investing regulations.
- Knowledge of credit union operations.
- Strong customer service skills, including follow-up, as needed.
- Ability to apply principles of logical thinking to define problems, collect data, establish facts and draw valid conclusions. Must be able to deal with abstract and concrete variables.
- Ability to speak effectively to groups of staff and members, as needed.
- Ability to communicate effectively in writing and orally.
- Ability to resolve interpersonal conflict and miscommunications.
- Knowledge of spreadsheet and word processing software.
Equal Opportunity/Affirmative Action Employer Disabled/Veterans
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Private Wealth Advisor
ID 1050
Location US-KS-Leawood
Category Wealth Management
Type Full-Time
Summary
This position is responsible for helping members achieve their long term financial goals by developing customized financial plans and making investment recommendations to support that plan.
Duties & Responsibilities
- Analyze investment strategies and make recommendations to members.
- Achieve sales/production goals to ensure revenue projections are met.
- Stay abreast of the investment tools and services available that can maximize performance.
- Ensure business activities and investment recommendations are in compliance with rules and regulations.
- Make outbound calls to members from various lead lists.
- Generate referrals from credit union employees.
- Attend credit union functions and other community meetings, as necessary.
- Promote honest and open communication throughout the credit union.
- Demonstrate behaviors that are consistent with the credit union’s values, philosophies, and leadership characteristics.
- Work with other credit union departments to insure the workflow or process is providing the best service to the members.
Requirements
Education and Experience
- Bachelor’s degree and two or more years experience in a related investment role is required.
- FINRA Series 7 & 66 strongly preferred.
- 63 & 65 licensing can be in place of 66.
- Previous investment experience in a bank or credit union environment is preferred.
Knowledge, Skills and Abilities
- Strong knowledge of managing financial investments and appropriate investing regulations.
- Knowledge of credit union operations.
- Strong customer service skills, including follow-up, as needed.
- Ability to apply principles of logical thinking to define problems, collect data, establish facts and draw valid conclusions. Must be able to deal with abstract and concrete variables.
- Ability to speak effectively to groups of staff and members, as needed.
- Ability to communicate effectively in writing and orally.
- Ability to resolve interpersonal conflict and miscommunications.
- Knowledge of spreadsheet and word processing software.
Equal Opportunity/Affirmative Action Employer Disabled/Veterans
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ID 1714
Location US-OK-Oklahoma City
Category Wealth Management
Type Full-Time
Summary
Copper Financial is a FINRA registered broker-dealer and SEC RIA, owned by CommunityAmerica Credit Union, one of the nation’s largest credit unions based in Kansas City. We are an innovative organization dedicated to providing wealth management services to other credit unions throughout the country to help meet every member’s unique financial needs.
We are looking to hire Wealth Advisors for our new credit union partner, True Sky Credit Union. As a Wealth Advisor, you are responsible for helping members achieve their long-term financial goals by developing customized financial plans and making investment recommendations to support their approximately 60,000 members.
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Duties & Responsibilities
- Analyze investment strategies and make recommendations to members.
- Achieve sales/production goals to ensure revenue projections are met.
- Stay abreast of the investment tools and services available that can maximize performance.
- Ensure business activities and investment recommendations are in compliance with rules and regulations.
- Make outbound calls to members from various lead lists.
- Generate referrals from credit union employees.
- Attend credit union functions and other community meetings, as necessary.
- Promote honest and open communication throughout the credit union.
- Demonstrate behaviors that are consistent with the credit union’s values, philosophies, and leadership characteristics.
- Work with other credit union departments to insure the workflow or process is providing the best service to the members.
Requirements
Education and Experience
- Bachelor’s degree and two or more years experience in a related investment role is required.
- FINRA Series 7 & 66 strongly preferred.
- 63 & 65 licensing can be in place of 66.
- Previous investment experience in a bank or credit union environment is preferred.
Knowledge, Skills and Abilities
- Strong knowledge of managing financial investments and appropriate investing regulations.
- Knowledge of credit union operations.
- Strong customer service skills, including follow-up, as needed.
- Ability to apply principles of logical thinking to define problems, collect data, establish facts and draw valid conclusions. Must be able to deal with abstract and concrete variables.
- Ability to speak effectively to groups of staff and members, as needed.
- Ability to communicate effectively in writing and orally.
- Ability to resolve interpersonal conflict and miscommunications.
- Knowledge of spreadsheet and word processing software.
