Registered Sales Assistant

Under limited supervision, ensure the effective delivery of services by providing a full complement of administrative support, client service and sales support to a team of registered investment representatives and their clients.

Minimum Qualifications

  • Minimum 5 years of experience in the investment industry
  • Two (2) years college degree or equivalent experience
  • Series 7 and 63/65, or Series 7 and 66 licenses
  • Proficient in Microsoft Office, especially Word and Excel. Ability to learn other technology-based systems as required.
  • Proactive, self-starter
  • Professional comportment.
  • Desire to provide exceptional client experience
  • Ability to exercise sound judgment and decision-making with limited supervision.
  • Accurate and detail-oriented
  • Sound analytical skills


  • Independently and proactively provide administrative support to team of investment representatives with books of business of mid to high complexity. This may include advanced involvement in client correspondence and interaction.
  • Provide positive client experience through knowledgeable and exceptional service, always putting clients' needs first.
  • Schedule client reviews and prepare reports for client presentations, including recommending report content.
  • Develop and maintain understanding of client goals and risk tolerance to provide superior support and service to clients and team members. This may include, but is not limited to, problem solving, providing updates and answering questions regarding account activity, processing transaction requests.
  • Accurately perform trading and rebalancing of client accounts.
  • Interact with Operations team members and other departments as needed to accomplish goals.
  • Maintain records and track client service activities in Client Relationship Management system.
  • Maintain portfolio models on wealth management platform.
  • Process quarterly client billing.
  • Establish client information and new accounts in technology systems.
  • May assist in onboarding new team members and may mentor other support team members.

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