Securities Sales Assistant Senior

Job summary
Securities Sales Assistant SeniorProvides operational and sales support to Financial ConsultantsWorks in Retail, High Net Worth, or Institutional capacity
Job seniority: mid-to-senior level
Responsibilities
• Assist with opening and maintaining client accounts• Ensure completion of all paperwork for clients• Provide timely and courteous responses to clients• Organize client files and set up systems for follow-up• Research and resolve complex client problems• Understand policies and procedures for compliance• Copy and retain necessary documentation• Maintain accurate office logs• Back up other sales associates as required• Participate in office or firm-wide initiatives
Requirements
• Series 7 and Series 63 required• Willingness to obtain FINRA Series 66 or 65, and state licenses• High school diploma required; college degree preferred• 3+ years general clerical experience required• 3+ years experience in investments/brokerage industry and securities regulations• Advanced knowledge of administrative and clerical procedures• Advanced knowledge of investment products• Strong organizational and problem-solving skills• Strong focus on providing exemplary client service• Excellent communication skills (both written and verbal)
Key Skills Needed
• Customer service• Teamwork• Planning and organizational skills• Creative and innovative• Attention to detail• Ability to multitask