Manager, Investment Servcies - Patelco Credit Union

Your career path should lead to real opportunity

LPL Financial partners with credit unions to offer a complete menu of financial services to credit union clients. This employment opportunity at Patelco Credit Union in Dublin, CA would allow you to join the Investment Program at Patelco Credit Union as a licensed Sales Manager associated with LPL Financial.        

The Investment Program at Patelco Credit Union supports the local community with a full menu of financial services. You will join a team that is dedicated to helping members in every stage of their financial life.

This exciting position will allow you to grow your career and business, leading a team that helps the members that look to Patelco Credit Union for financial solutions. This position will offer:

• Develop each employee to their highest potential by identifying their areas for improvement and appropriately coaching, training or correcting the employees’ performance in alignment with Patelco performance management practices.
• Conduct regular connect with each employee to review performance, set goals, and develop improvement plans to ensure accountability.
• Ensure the program aligns with the credit unions' operating plan, long-range plan and other initiatives that promote synergy.
• Oversee the completion of all required Credit Union compliance training and those mandated by the broker-dealer.
• Serve as a liaison between Patelco Financial Solutions and other departments.
• Ensure that the program adheres to all broker-dealer and regulatory requirements.
• Ensure that the goals and operations of the Patelco Financial Solutions aligns with the overall goals and objectives of the Credit Union.
• Develop and coordinate marketing and advertising strategy that aligns with the operating plan.
• Supervise and coordinate the preparation of daily, monthly, and annual reports related to sales activities, income, expenses, and referrals.
• Assist in preparing annual operating budget and monitor revenue and expenditures.
• Assist in planning, implementing, and evaluating a business plan for the Investment Group.
• Plan, implement and evaluate short and long-term business plans of the Financial Advisors and Sales Assistants.
• Develop training content for branch teams and vet content with Compliance and our broker-dealer partner, and ensure monthly training sessions are conducted by the investment team.
• Calculate compensation metrics for the Investment Team.
• Manage member complaints/errors (with CFS Compliance) to promote member experience and minimize credit union liability.
• Ensure that the operations of Patelco Financial Solutions comply with all applicable compliance and regulatory standards.
• Provide on-going financial planning, sales, and career coaching and mentoring employees.
• Assist in managing all recruiting efforts for Patelco Financial Solutions in partnership with Human Resources.
• Perform other duties as assigned.
• Ability to read and perform arithmetic operations quickly and accurately and demonstrate strong mathematical aptitude.
• Demonstrate excellent verbal and written communication and effective presentation skills.
• Effectively communicate with internal partners and clients.
• Demonstrate excellent decision making, problem-solving skills, and strong organizational skills.
• Pay attention to details and recognize errors in numbers and spelling.
• Strong practical understanding of general economic principles relating to all aspects of personal finance.
• Demonstrate professionalism at all times with empathy and tact, and able to handle confidential information.
• Understand and comply with all applicable federal and state laws and banking regulations (including those related to OFAC and Bank Secrecy Act / Anti-Money Laundering compliance) and Patelco Credit Union's policies and procedures.

Whatever your vision of success, we’re with you every step of the way.

Requirements:

• Bachelor degree in in finance, business or related field required.
• 5+ years related investment industry experience and/or training.
• 3+ years of prior management experience, including sales coaching experience.
• Series 7, 63, 65 (or 66) Securities Registrations, and Life Insurance licenses are required.
• Series 24 or Series 9/10 Securities Registrations equivalent required.
• Previous Financial Advisor experience preferred
• Advanced Industry Designations preferred - such as CFP, ChFC, CRPC, RICP, CFF
• Excellent working knowledge of financial institution products and services, as well as, life insurance, annuity and securities products.
• Strong practical understanding of general economic principles relating to all aspects of personal finance.
• Proficient in MS Office applications such as Outlook, Word, PowerPoint, Excel.
• This position is eligible for hybrid work arrangements.
• This position is based out of our Headquarters, in Dublin, CA.
• Regular travel to different branch locations required.

Apply online at: By submitting an application, you are not applying for employment with LPL Financial.  Employment is with Patelco Credit Union, however, in accordance with regulatory requirements, LPL Financial would hold your securities/insurance licenses.

***REQUIRED DISCLOSURE(S)

These investment products and services are being offered through LPL or its affiliates, which are separate entities from, and not affiliates of, Patelco Credit Union.

Tracking # 1-05026674