• Investment Services Ops Specialist

    BECU Seattle, WA 98168

    Job #2306935970

  • Are you interested in working for a purpose-driven organization that is owned by, and accountable to, its members-not its shareholders? Where you can collaborate with teams that help deliver products and services to over 1.3 million members? Then read on-BECU might just be the right fit for you.

    BECU is a national leader among financial institutions. With over $29 billion in assets, we're among the largest credit unions in the nation. We've been in business for over 86 years, serving the financial well-being of our community and helping our members achieve life-long financial goals.

    Here's what else sets us apart:

    • Our members-first ethos.

    • Unique benefits, perks and workplace culture.

    • Philanthropy and community involvement.

    • Remote, flexible and hybrid work opportunities.

    To learn more visit ~~~/careers.


    The Investment Services Branch Office Specialist is responsible for the back office record management for the Investment Services program. Specifically, maintain member product files, Advertising submission and approvals, as well as branch compliance files while ensuring compliance with their respective agencies (Broker/Dealer, FINRA, RIA, and Insurance Agencies) and retention policies. This person will assist in the execution of the strategic program initiatives, key processes and systems including Salesforce CRM (SFCRM) and Investment Services related websites (internal & external).


    • Perform all responsibilities in accordance with BECU Competencies and Information Protection requirements.

    • Provide operations support to the branch by processing account applications and required paperwork (including faxing, photocopying, imaging, uploading, file creation and filing) to ensure documentation is in compliance.

    • Perform daily mail distribution as well as securities & check processing to ensure timely and accurate branch deposits.

    • Provide branch systems support, including ongoing maintenance of the department SFCRM system by assisting with configuration, updates, data exports and imports, system backups, as well as linking with LPL Branchnet. Proficient in report writing & development (SFCRM, Broker/Dealer Reports, and Management Reporting). Support other SFCRM related projects and process improvement initiatives as assigned. Maintain written procedures and processes for all related activities.

    • Maintain branch file compliance by maintaining required branch files and retention as required by BECU, BECU Investment Services, Broker/Dealer, and Regulatory Agencies. Coordinate audit related inquiries. Maintain written policies and procedures for all related activity.

    • Provide marketing & special event support by developing and maintaining a thorough understanding of industry and broker/dealer rules and requirements as it pertains to marketing compliance. Ensure submission, approval and tracking with the final uploading of all department advertising and marketing within LPL ComplianceMax. Maintain written procedures and processes for all related activities.

    • Provide support for audit related inquiries, as well as assist with ongoing review and maintenance of department branch files to ensure compliance with their respective agencies (Broker/Dealer, FINRA, RIA, and Insurance Agencies).

    • Maintain onsite and offsite file archiving.

    • Manage and conduct communication and mailings for branch in alignment with the communication and mailing strategy (i.e. Welcome Packets & Account Review Letters).

    • Provide ongoing maintenance to the BECU Investment Services related websites (internal & external) as well as department dashboard reporting.

    • Identify and implement ways to improve workplace efficiencies and business processes by utilizing available technology and resources.

    • Provide excellent internal and external customer service.

    • Perform additional duties as assigned.


    • Associates degree in business or equivalent work or educational experience required. Bachelor's degree preferred.

    • Minimum 4 years of experience in the financial industry required. Experience in the investment services industry preferred.

    • BECU Investment Services will sponsor FINRA Registration through Broker/Dealer upon reaching competency within the position.

    • Three years of experience with sfCRM preferred.

    • Subject matter expert (SME) at a minimum of one of the following areas (1) Branch Systems Support, (2) Marketing & Events, and (3) Branch Compliance while working towards cross-training and backup support to each SME category.

    • Occasional travel required.

    • Proficient verbal and written skills to effectively communicate in the English language.

    • Excellent analytical and problem solving skills to ensure compliance issues are resolved effectively.

    • Excellent organizational skills, with the ability to handle multiple tasks by prioritizing job responsibilities.

    • Ability to effectively present information and/or training to individuals and groups.

    • Proficient in Microsoft Office.

    • Proficient math skills with a high degree of accuracy.

    • Full time hours required, with additional hours as necessary.

    EEO Statement:

    BECU is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, veteran status, disability, sexual orientation, gender identity, or any other protected status.

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