Sales Associate to Financial Advisor

Sales Associate to Financial Advisor

Osaic Institutions, Inc. | Westminster, Colorado

Job Type: Full-Time | In-Person

Pay: $22.00–$27.00 per hour, depending on experience and licensing

Additional Compensation: Potential monthly performance-based bonus

Total Comp - Approximately 70k- 78k with Bonus structure

• 401(k) and employer matching

• Health insurance

• Dental insurance

• Vision insurance

• Life insurance

• Paid time off

• Retirement plan

About the Opportunity

We are seeking a motivated, highly organized, and client-focused Sales Associate to work directly with an established Executive Financial Advisor located within a high-volume credit union branch in Westminster, Colorado.

This position offers the opportunity to work closely with one experienced financial advisor, providing direct administrative, operational, and client service support in a growing financial advisory practice.

The advisor currently generates approximately $1.2 million in trailing 12-month Gross Dealer Concession (GDC) and maintains an active client base. The successful candidate will play an important role in managing daily operations, maintaining client relationships, coordinating appointments, and supporting the continued growth and efficiency of the practice.

Unlike traditional administrative roles supporting multiple departments or executives, this position provides the opportunity to develop a close professional working relationship with one financial advisor and take meaningful ownership of the practice's daily administrative operations.

The ideal candidate is proactive, detail-oriented, dependable, and comfortable working independently while maintaining exceptional standards of professionalism and client service.

Key ResponsibilitiesDirect Financial Advisor Support

• Provide dedicated administrative and operational support to one Executive Financial Advisor.

• Manage the advisor's calendar, schedule client meetings, and coordinate appointments and follow-up activities.

• Prepare and process paperwork for new investment accounts, account transfers, and ongoing client service requests.

• Prepare financial reports, client meeting materials, presentations, and other documentation.

• Maintain accurate and organized client records in accordance with applicable regulatory and firm requirements.

• Assist with trade-related administrative activities and, when appropriately registered and authorized, trade execution based on advisor instructions and firm procedures.

• Identify opportunities to improve office efficiency, organization, and client service processes.

• Help manage the advisor's daily workflow, priorities, and administrative responsibilities.

Client Service & Communication

• Serve as a primary point of contact for clients and prospective clients.

• Answer incoming calls, respond to emails, and assist with routine client inquiries.

• Make outbound calls to warm leads, existing clients, and credit union referrals to schedule appointments.

• Coordinate client follow-ups and help ensure service requests are handled accurately and promptly.

• Maintain professional and positive relationships with clients, credit union employees, and internal departments.

• Handle confidential financial and personal information with discretion and care.

• Deliver exceptional service in every client interaction.

Practice Management & Business Development

• Track appointments, referrals, sales activity, and business development progress.

• Coordinate with credit union branch employees to facilitate investment referrals.

• Maintain branch referral tracking logs and assist with referral programs and contests, subject to applicable firm policies.

• Help coordinate client appreciation events, educational seminars, and other practice-related activities.

• Assist the advisor in identifying and following up on business development opportunities.

• Support the ongoing organization, efficiency, and growth of the advisory practice.

Compliance & Operations

• Maintain organized and compliant electronic and physical filing systems.

• Ensure investment account documentation is accurate, complete, and submitted in a timely manner.

• Follow applicable FINRA, SEC, and Osaic policies and procedures.

• Assist with compliance-related administrative responsibilities.

• Troubleshoot routine administrative, technical, and client service issues.

• Understand the distinction between credit union products and investment products offered through Osaic Institutions.

Required Qualifications

• Minimum one year of experience in banking, an investment firm, insurance, or a related financial services environment.

• Associate degree or higher.

• Strong organizational and administrative skills.

• Excellent written and verbal communication abilities.

• Professional telephone etiquette and a strong client service mindset.

• Proficiency with Microsoft Outlook, Word, Excel, and other office technology.

• Strong attention to detail and accuracy.

• Ability to multitask, prioritize responsibilities, and work independently.

• High level of professionalism, reliability, and discretion.

• Ability to maintain confidential client information.

• Ability to successfully complete required criminal and credit background checks, consistent with applicable law.

• Ability to work full-time, on-site in Westminster, Colorado.

Preferred Qualifications

• Previous experience as a Financial Advisor Assistant, Client Service Associate, Administrative Assistant, or similar position.

• Experience supporting investment professionals or financial advisors.

• Familiarity with investment accounts, retirement products, insurance, and financial services terminology.

• Experience with investment account paperwork, transfers, and client servicing.

• Familiarity with financial services CRM platforms and broker-dealer systems.

• FINRA SIE, Series 6, or Series 7 examination or registration.

• Previous experience working within a credit union or bank-based investment services environment.

FINRA licensing is preferred but not required.

Potential Annual Performance Bonus

Qualified FINRA-licensed candidates may be considered for an additional annual performance-based incentive bonus.

The advisor's established practice currently generates approximately $1.2 million in trailing 12-month GDC.

A potential bonus structure of up to 2% of eligible annual GDC may be available to appropriately licensed candidates, subject to firm approval, applicable regulatory requirements, and a written compensation agreement.

At current production levels, a 2% bonus would represent approximately $24,000 annually.

This would result in illustrative total annual compensation of approximately $69,760–$78,080, depending on base pay and bonus eligibility.

Bonus compensation is not guaranteed. Actual eligibility, calculation, and payment are subject to applicable firm policies, licensing and registration requirements, and the final approved compensation plan.

Work Environment

This is a full-time, in-person position located within a high-volume credit union branch in Westminster, Colorado.

The Sales Associate will work directly with one Executive Financial Advisor, serving as the primary administrative and client service support professional for the advisor's practice.

This role requires a high degree of trust, communication, accountability, and independence.

The successful candidate will have the opportunity to become an integral part of an established financial advisory practice while developing valuable experience in investment operations, client relationship management, and financial services.

Occasional work at nearby branch locations may be necessary to meet client and advisor service needs.

About Osaic Institutions

Osaic Institutions, Inc. is a member of FINRA/SIPC and provides investment and insurance products and services to clients through financial institutions.

Osaic Institutions partners with banks and credit unions to provide access to financial planning, investment solutions, retirement planning, and insurance services.

Osaic Institutions operates as an independent entity and is not affiliated with the financial institutions through which its services may be offered.

Important Investment Disclosures

Securities and investment advisory services are offered through Osaic Institutions, Inc., member FINRA/SIPC. Insurance products may be offered through appropriately licensed insurance professionals.

Investment and insurance products and services offered through Osaic Institutions:

• Are not FDIC or NCUA insured.

• Are not deposits or other obligations of the credit union or bank.

• Are not guaranteed by the credit union or bank.

• Are subject to investment risks, including the possible loss of principal.

• Osaic Institutions, Inc. is a separate entity from the financial institution.