Registered Sales Assistant

Key Responsibilities

• Foster strong, long-term client partnerships by providing a consistently elevated client service experience.
• Engage with clients to understand their specific needs and requests while ensuring compliance with firm policies and procedures.
• Maintain confidentiality with all client and company information.
• Oversee the account lifecycle, including opening, closing, and ongoing processing.
• Facilitate interactions between money managers and traders to ensure efficient trade execution.
• Act as the liaison between clients and portfolio managers to ensure alignment.
• Drive cross-functional projects and daily operational excellence, managing everything from strategic initiative execution to the meticulous upkeep of client data and compliance documentation.
• Conceive and implement new strategies to engage with next-generation clients.
• Organize and attend client events to strengthen professional relationships.
• Cook up with money managers and our compliance department to produce and distribute quarterly client letters.
• Provide general administrative support.

Required Skills And Qualifications

• Series 7 required.
• Series 63 license is required or must be obtained within 6 months of hire.
• Proficient in Microsoft Office Suite (Outlook, Word, Excel, OneNote) and Gmail.
• Experience with Salesforce & Wealthscape is a plus.
• Knowledge of equities trading, including margin requirements and short-selling processes.
• Familiarity with retirement accounts, trusts, and foundations.
• A dedicated work ethic with a commitment to completing tasks and ensuring all objectives are met both independently and in a team environment.
• Strong organizational skills and attention to detail.
• Excellent customer service skills and the ability to maintain professional interactions both verbally and written.
• Ability to function well in a fast-paced and evolving environment.

Pay

$70,000 - $100,000