Registered Sales Assistant Job Description

Registered Sales Assistant Job Description

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Registered sales assistant provides on-going recommendations to Sales Managers and Account Executives to upsell and cross-sell our vast product offerings.

Registered Sales Assistant Duties & Responsibilities

To write an effective registered sales assistant job description, begin by listing detailed duties, responsibilities and expectations. We have included registered sales assistant job description templates that you can modify and use.

Sample responsibilities for this position include:

You will utilize your knowledge of our products and various systems to research and resolve questions or account issues for our clients
You will become knowledgeable in our retirement product offerings
Resolve client complaints, inquiries, and discrepancies
Provide any needed administrative and clerical support to PB Sales force and Management, including documentation, mailings, creating and maintaining client files, mass mailings, expenses
Provide administrative and clerical support, including mailings, creating and maintaining client files, expenses
Process required paperwork for investment transactions
Open new accounts, obtain required information, verify accuracy, and enter into system
Perform miscellaneous duties such as type correspondence and documents
Possess relationship management skills and cultivate a service environment targeted towards enhancing the client experience
Relieves the Sales Representatives of operational/ administrative duties, allowing Sales Reps to concentrate efforts on selling

Registered Sales Assistant Qualifications

Qualifications for a job description may include education, certification, and experience.

Education for Registered Sales Assistant

Typically a job would require a certain level of education.

Employers hiring for the registered sales assistant job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and Associate Degree in Education, Business, Technical, Financial Services, Associates, Finance, Business/Administration, Technology, Health, Management

Skills for Registered Sales Assistant

Desired skills for registered sales assistant include:

AIS and Associated policies and procedures with an emphasis on BSA and KYC/KYA/CIP
Market activities and product offerings to ensure full support to sales team
System to record and manages sales activities
Products and services
System to record and manage sales activities
Account issues for our clients
Brokerage accounts and investments
Our products and various systems to research and resolve questions
Our retirement product offerings
Securities compliance

Desired experience for registered sales assistant includes:

Assists Financial Advisors with marketing efforts including seminars
Participates in and receives cross-training, assists with other operational functions as required
Performs all clerical and administrative tasks, including the preparation and processing of correspondence and communications
Analyze and organize office operations and procedures such as bookkeeping, time keeping, payroll, personnel, , to insure efficient office operations
Coordinate with corporate headquarters for services such as computer purchases, installations, and moves
Participate on special projects as required including acting as the field coordinator for the transition of incoming recruited employees

Registered Sales Assistant Examples

1

Registered Sales Assistant Job Description

Job Description Example
Our company is looking for a registered sales assistant. Please review the list of responsibilities and qualifications. While this is our ideal list, we will consider candidates that do not necessarily have all of the qualifications, but have sufficient experience and talent.
Responsibilities for registered sales assistant
  • Works with Financial Consultants and other partners (e.g., sales management team, compliance) in the design the Managed Account Solutions platform including identifying platform access options
  • Works with Financial Consultants to identify opportunities for transitioning clients to the MAS platform where appropriate
  • Provides training and web site demonstrations for all MAS platform users, including on-site operational support
  • Onboards new investment managers and strategists to MAS platform and provides ongoing support
  • Responds to and resolves Financial Consultant sales and services requests related to the advisory business
  • Works with Senior Investment Analyst to communicate all pertinent investment information and create efficiencies for Financial Consultants
  • Complete new account and transfer account forms
  • Answer telephones, take messages, make copies, and mail printed material
  • Type correspondence, reports, account information, pair off letters, from drafts, transcriptions, memos and various forms
  • Maintain files of confidential and routine material and information
Qualifications for registered sales assistant
  • Strong proficiency using the Microsoft Office Suite to include Word, Excel, Access, and PowerPoint
  • Advanced mathematical and analytical skills, and the ability to analyze various pieces of data to derive a conclusion
  • Strong written and verbal communication skills, and the ability to communicate effectively with a wide variety of audiences
  • Operate computer terminals to assist sales reps and/or customers and provide information as appropriate
  • Assist assigned sales staff in resolution of routine problems with accounts by researching and compiling appropriate information for their use
  • Maintain miscellaneous records for sales reps such as appointment schedules, commission accounts, trades executed
2

Registered Sales Assistant Job Description

Job Description Example
Our growing company is looking to fill the role of registered sales assistant. We appreciate you taking the time to review the list of qualifications and to apply for the position. If you don’t fill all of the qualifications, you may still be considered depending on your level of experience.
Responsibilities for registered sales assistant
  • Type correspondence, reports, account information, pair off letters, etc from drafts, transcriptions, memos and various forms
  • Provides daily administrative support for assigned Financial Consultants
  • Working alongside an experienced and results-oriented team of Financial Advisors and other Sales Assistants, you will provide best in class service to our retirement account clients, as you partner with and support a small group of Financial Advisors in a collaborative environment
  • You will ensure that accounts are being opened and funded properly and in a timely manner
  • You will use your previous experience or you newly gained knowledge and observations to make recommendations for streamlining and improving processes and efficiencies to better support the needs of our clients
  • You will work in an environment that offers continuous personal and professional development to hone your skills as a consummate fiduciary
  • Gain proficiency in a variety of technology based systems like AWD, Morningstar, NetX360, Salesforce and others, and utilize these tools to research and extract the information necessary to educate and assist our clients and resolve account issues and inquiries
  • Recognize opportunities to engage the client with their advisor in order to ensure that they understand and are making sound financial decisions
  • Learn how to ask probing questions and become an effective listener in order to help our clients to best articulate their questions and ensure that you are able to find the best solutions
  • A Comprehensive Wealth + Health package.It’s our passion to empower people, and especially our employees, to add years to their lives and more life to their years
Qualifications for registered sales assistant
  • Experience utilizing a Contact Management System such as Salesforce or Red Tail preferred
  • Bachelor’s degree in a business field or equivalent work experience
  • Wealth Benefits
  • Operate computer terminals to assist Financial Consultants and/or customers and provide information as appropriate
  • Maintain miscellaneous records for Financial Consultants such as appointment schedules, commission accounts, trades executed
  • Schedule business trips for Financial Consultants, coordinate with customers while Financial Consultants is out of office, and assist with filing expense reports for Financial Consultants
3

Registered Sales Assistant Job Description

Job Description Example
Our company is growing rapidly and is looking to fill the role of registered sales assistant. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for registered sales assistant
  • Keeps contact database organized and up-to-date
  • Organizes and coordinates marketing schedules
  • Answers telephones and screens calls for financial advisors
  • Solicits and receives orders for the financial advisor and services less active accounts when needed
  • Provides assistance to RSA Manager as needed
  • Must have a sales aptitude or ability to adapt
Qualifications for registered sales assistant
  • Series 7 and either 63 or 66 license required
  • Bachelor’s Degree (B.A.) with a minimum of five (5) years of experience in a sales or trading role within the securities or financial services industry
  • Series 7 required and Series 63 if required in the state
  • Series 7 and 63 preferred or required to obtain within first twelve months of employment
  • Series 7 and 66 preferred or willing to become licensed
  • Proficient keyboarding skills including 10 Key

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