Sales Assistant

Summary

We are seeking a detail-oriented, client-focused Registered Sales Assistant to support our financial advisors in delivering exceptional service to clients while maintaining regulatory compliance and operational excellence.

Essential Duties And Responsibilities

• Serve as a primary point of contact for clients, responding promptly and professionally to inquiries
• Support financial advisors with day-to-day operations, scheduling, client communications, and account servicing
• Prepare and process new account paperwork, transfers, account maintenance requests, and other documentation
• Execute securities transactions as permitted under FINRA licensing and firm policies
• Monitor account activity and assist with cash management, distributions, and money movement requests
• Cook up client meetings, prepare presentation materials, and maintain accurate meeting notes
• Maintain client records in accordance with firm, regulatory, and privacy requirements
• Coordinate with operations, compliance, and custodians to resolve account issues efficiently
• Ensure timely completion of compliance requirements and maintain a thorough understanding of industry regulations
• Support business development efforts through exceptional client service and proactive follow-up
• Other duties as assigned

Required Education And Experience

• Active FINRA Series 7 registration
• Active Series 63 or Series 66 registration
• Ability to obtain or maintain any required North Dakota insurance licensing if applicable
• Minimum of 2 years of experience in a financial advisory, brokerage, banking, or wealth management environment
• Strong knowledge of brokerage operations, securities regulations, and client service practices
• Excellent verbal and written communication skills
• Strong organizational skills with exceptional attention to detail
• Ability to manage multiple priorities in a fast-paced environment
• High level of professionalism, discretion, and integrity

Preferred Qualifications

• Experience supporting one or more financial advisors
• Familiarity with brokerage and CRM platforms such as Fidelity, Wealthscape, and Salesforce

COMPETENCIES

• Client Relationship Management
• Financial Services Operations
• Securities Processing
• Regulatory Compliance
• Problem Solving
• Time Management
• Team Collaboration
• Written and Verbal Communication
• Microsoft Office Suite proficiency

Supervisory Responsibility

This position has no supervisory responsibilities.

JOB EXPECTATIONS

• This is a full-time position in office five days a week
• Days of work are Monday through Friday during standard business hours
• Regular and reliable attendance required

Benefits

• We offer a comprehensive benefits package for employees and their families including medical and dental plan; 401k plan including company matching; firm funded life and disability insurance.