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Registered Sales Assistant II

Registered Sales Assistant II

Job Description


Provides support in all phases of client service, client relationship building, and account maintenance to assist the business activities of the Financial Consultant(s). Transacts business on behalf of and under the guidance of Financial Consultant(s).


  • Interacts daily on the telephone and in person with prospective and existing clients in a professional and pleasant demeanor, including addressing/resolving inquiries and scheduling appointments.

  • Explains products and services recommended to clients and answers questions about specific product recommendations.

  • Obtains investment and product information for Financial Consultants.

  • Discusses client holdings.

  • Executes, processes, and confirms client transactions with Financial Consultant approval.

  • Interacts with operations staff to address and resolve issues and problems.

  • Researches client and account information and takes appropriate action.

  • Sets up new accounts, obtains information and verifies accuracy.

  • Processes and follows-up on client documentation for proper maintenance of accounts and files.

  • Creates and maintains client files, records, and other correspondence.

  • Maintains accounts, research lists, and databases.

  • Compiles statistical information and creates reports.

  • Alerts management of legal, regulatory, and policy/procedural violations.

  • Performs other duties and projects as assigned.


  • Brokerage industry, trading operations, and retail brokerage products.

  • Effective customer service, interpersonal, problem solving, planning/organizational, oral/written communications, and administrative skills.

  • Effective computer, numerical reasoning, and time management skills.

  • Transact business on behalf of Financial Consultants.

  • Assist Financial Consultant(s) with business development and marketing efforts.

  • Provide back-up support to other branch staff as needed.

  • Perform under the general guidance of Financial Consultants and branch management.

  • Work simultaneously on multiple projects under pressure of deadlines and other time constraints.

  • Keep commitments.

  • Work ethically and with integrity, including maintaining client and firm confidentiality.

  • Comply with legal, regulatory, and firm policy/procedure requirements.

  • Project a professional image with external and internal business contacts.

  • Series 7 License Required.
  • Job Requirements

    Please refer to the Job Description for the qualifications.

    Job Snapshot

    Employment Type Full-Time
    Job Type Finance
    Education Not Specified
    Experience Not Specified
    Manages Others Not Specified
    Industry Accounting - Finance, Banking - Financial Services, Securities
    Required Travel Not Specified
    Job ID 135494
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    Registered Sales Assistant II

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