How will this role impact First Command?

The Financial Industry Regulatory Authority (FINRA) oversees the people and firms that sell stocks, bonds, mutual funds and other securities. FINRA Rule 3110(e), Responsibility of Members to Investigate Applicants for Registration , requires First Command to obtain certain information on an applicant to make an evaluation prior to hiring them. This Rule is designed to mitigate client, industry and company reputation risks.

The Transition Coordinator, assists by preparing files so that the Transition Specialist can conduct highly regulated and structured background investigations on individuals applying for employment as a First Command Fast Start Advisors (FSA), Independent Contractor (IC), as well as on potential field staff hires; Licensed Associate (LA), Affiliated Financial Advisor (AFA), Office Manager (OM), Administration Assist (AA), Client Contact Specialist (CCS) and any other field facing roles requiring access to client information.

What will the employee do in this role?

• Prepares thorough background investigation packages according to the firm’s policies, applicable regulatory rules, laws, and procedural requirements utilizing online, telephonic, and third-party research
• Coordinates with key stakeholders on status of all candidates
• Conducts follow up on education and employment verification discrepancies
• Reviews Education and Employment verifications
• Follow up with vendor(s) regarding any discrepancies
• Contact candidates to collect documentation regarding discrepancies uncovered during education and employment verifications
• Ensures all Federal, State and Carrier hiring guidelines are in line with First Command’s investigation requirements and processes
• Assist in the gathering of files and documents during Regulatory investigations
• Continue to look for new and ever evolving search techniques, tips and guidelines while maintaining a baseline of established research protocol, assuring accurate and relative results
• Assist with notifications and revisions to individuals U4 when there is a known disclosable event

What skills & qualifications do you need?

Education

• Associate’s Degree

Work Experience

• 1 to 2 years clerical experience required
• 1 to 2 years of legal documentation review preferred
• Knowledge of consumer reports preferred
• Knowledge of federal (FINRA) and state (Insurance) requirements preferred

Required Knowledge, Skills and Abilities

• Outstanding written and verbal communication skills.
• Ability to use independent judgment and be entrusted with confidential information.
• Logical deductive reasoning
• Work independently with little direction
• Superior time management skills
• Meeting tight deadlines
• Ability to shift focus and engage in a fluid, dynamic work environment that requires adaptability
• Must thrive in a fast-paced, results-oriented and collaborative environment
• Strong attention to detail and accuracy
• Proficiency in navigating systems, databases, and specialized software

#LI-NC1 #LI-HYBRID

Required Skills

Required Experience

1. A Bachelor’s Degree is required in marketing, business management, communications, public relations, organizational development, and a minimum of five (5) years in a consultative environment; or a minimum of eight (8) years in a consultative environment in a technical field listed above.

2. A Credit Union Certified Financial Counselor (CCUFC) designation at CUNA Certified Financial Counselor School is preferred or will be expected to achieve within the first six months of employment.

3. Ability to articulate the Credit Union movement, the WPCU difference, the WPCU brand and the benefits of WPCU products and services that results in deeper and more meaningful member and Select Employee Group relationships.

4. Passion for facilitation with experience and can use a variety of channels, i.e. virtual, in-person, online tools, etc., to deliver programs, activities, sessions, etc.

5. Excellent motivational and interpersonal skills with the ability to “lead” in a non-supervisory capacity.

6. Strong attention to detail, superior organizational skills and effective activity/event coordination required.

7. Ability to represent WPCU professionally at corporate sponsored or community events and interact effectively with and present to various audiences, including members, business-partners, and partner-employees.

8. Ability to frequently work irregular hours including nights, weekends, and early morning hours.

9. Ability to be a self‐starter and manage multiple tasks and projects in a collaborative team environment.