Registered Sales Assistant Resume Samples

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E Swift

Eugenia

Swift

21078 Cole Lock

Philadelphia

+1 (555) 233 4608

21078 Cole Lock

Philadelphia

Phone

p +1 (555) 233 4608

Experience Experience

Dallas, TX

Registered Sales Assistant

Dallas, TX

Schiller, Hoppe and Flatley

Dallas, TX

Registered Sales Assistant

Assists with seminars by preparing presentation materials and coordinating customer and prospect mailings
Assist assigned Financial Consultant with portfolio evaluation
Responsible for assisting the Consultants in rebalancing accounts
Takes and executes simple or routine solicited/unsolicited orders in Sales Rep’s absence
Client relationship management
Complete paperwork for investments and insurance within set standards
Coordinates Investment Executive’s schedule and makes appointments

Dallas, TX

Registered Sales Assistant

Dallas, TX

Runte-Raynor

Dallas, TX

Registered Sales Assistant

Perform the calculation of RMD’s, facilitate distribution on behalf of the client(s) and provide thorough documentation of work performed
Provides assistance to Sales Representatives and other Registered Sales Assistants as necessary
Perform other tasks as assigned by management
Assists Investment Executives and Licensed Reps with paperwork and correspondence to and from clients
Assists in business development at the direction of the Investment Executive(s)
Provides assistance to Sales Representatives and other RSAs as necessary
Assist with office operations including answering phones, greeting clients and screening calls

present

Dallas, TX

Senior Registered Sales Assistant

Dallas, TX

Ortiz-Barrows

present

Dallas, TX

Senior Registered Sales Assistant

present

Provide ongoing account maintenance
Provide or obtain updated client information
Properly record all interactions within customer relationship management software
Troubleshoot problems and assist with compliance related duties
Submit and follow up on necessary paperwork
Electronic Funds Transfer (EFT) establishment or termination
Field client inquiries and resolve service issues

Education Education

Bachelor’s Degree in Accuracy

Emory University

Bachelor’s Degree in Accuracy

Skills Skills

Assist with office operations including answering phones, greeting clients and screening calls
Process account trades at direction of Financial Advisor
Collect appropriate documentation to set up new accounts
Input data into certain online financial planning tools or other order entry software
Client relations/Educate clients on services
Scheduling of meetings and appointments
Provide compliance and marketing support
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Registered Sales Assistant Resume Examples & Samples

Responsible for quarterly billing
Prepare expense reports for Consultants
Responsible for assisting the Consultants in rebalancing accounts
Maintain list of Hedge Fund of Funds additions and redemptions
Responsible for opening and closing of accounts and working with custodians
Proficient with Microsoft Office applications
Works well under pressure, with the ability to prioritize and manage multiple tasks
Ability to complete large amounts of work in short time frames
Takes ownership for work, always ensuring standards and deadlines are met and keeping others informed and up-to-date
Ability to collaborate on projects with other analysts
Openly shares information and own expertise with colleagues
Possess excellent team working skills
Takes initiative in accomplishing agreed upon goals
Self driven and results oriented
Series 7 Preferred

Registered Sales Assistant Resume Examples & Samples

Assist with office operations including answering phones, greeting clients and screening calls
Process account trades at direction of Financial Advisor
Process required paperwork for investment transactions; interact with broker-dealer
Collect appropriate documentation to set up new accounts
Input data into certain online financial planning tools or other order entry software
Client relations/Educate clients on services
Scheduling of meetings and appointments
Provide compliance and marketing support

Registered Sales Assistant Resume Examples & Samples

Identify needs and refer customers to business Select partners within and across lines of business who can best meet those needs
Establish new accounts for customers by inputting the information into the Pershing system and creating a hard-copy file
Review pending trade settlements to ensure timely payment and receipt of funds
Coordinate with the Main office as needed regarding documentation, procedures, commission accounting, etc
Assist one or more sales reps with seminars, telemarketing and other proactive steps to produce new business. (i.e. Developing newsletters, invitations, . . . )
Provide information to clients regarding account activity, market quotations, trade transactions, etc
Maintain current knowledge of market activities and product offerings to ensure full support of sales staff
Effect the sale of brokerage and insurance products as needed

Registered Sales Assistant Resume Examples & Samples

Execute trades and money movement in a timely, accurate, and well documented fashion via the Team’s Centralized Trading Model
Work with Team members to create timely and compliant SPS Deliverables
Perform the calculation of RMD’s, facilitate distribution on behalf of the client(s) and provide thorough documentation of work performed
Some client contact required
Attention to detail with strong analytical skills critical
Is appropriately licensed (including Series 7 and 66, and life and health insurance). Mandatory
Has 2-3 years industry experience
Has a bachelor’s degree or equivalent experience
Is extremely attentive to detail
Has a genuine interest in serving and caring for other people
Has excellent organizational, task, and time management skills
Is able to self-teach when given appropriate resources
Loves systems; building, evaluating, implementing, and sticking to them
Likes to work proactively not reactively
Solves problems with long term solutions, not band aids
Comfortable with spreadsheets, databases, and analytical software
Has high degree of comfort with technology
Has excellent interpersonal skills
Happily works mostly behind the scenes but can handle an occasional cameo

Senior Registered Sales Assistant Resume Examples & Samples

Prepare client reports
Provide or obtain updated client information
Troubleshoot problems and assist with compliance related duties
Submit and follow up on necessary paperwork
Utilize all available resources to determine the most efficient and accurate methods to accomplish client service requests
Enter notes in CRM database daily, based on advisor-client interactions, Input advisor, and appropriate non-advisor, dictation, and work to ensure data integrity in all databases
Field client inquiries and resolve service issues
Provide ongoing account maintenance
Process outgoing withdrawals and journal requests
Electronic Funds Transfer (EFT) establishment or termination
Verify incoming deposits
Administer new client accounts, gather missing client information, and verify client documentation
Process and track account transfers
Respond to client questions regarding their account(s) with factual information
Properly record all interactions within customer relationship management software
Working knowledge of financial services products such as Insurance/Annuities, Mutual Funds, Stocks, Distributions, & IRAs
Able to understand and navigate different custodial platforms
Strong writing & verbal communication skills
Knowledge of MS Office and all its tools (MS Word, Excel, Outlook, & PowerPoint)
Ability to multi-task, organize and complete projects
Able to create a professional document using notes from others
Proven ability to prioritize, manage competing priorities, and handle multiple tasks efficiently

Registered Sales Assistant Resume Examples & Samples

Reviews outgoing paperwork for completeness and mailing to the OSJ as needed
Updates account notes
Organizes and maintains file system, files correspondence and other records to meet regulatory and firm requirements
Verifies information such as owners' names, transaction dates, and distribution instructions, on securities certificates and new account paperwork to ensure accuracy and conformance with government regulations and firm requirements
Posts transaction data to the Check and/or Securities Received blotters, documents transmittal forms, monthly transmittal forms and other forms as needed
Reviews and keeps track of trade blotters, posting of revenue
Assists Investment Executive(s) with compliance requirements
Answers and screens Investment Executive’s telephone calls, and arranges conference calls
Coordinates Investment Executive’s schedule and makes appointments
Coordinates and arranges meetings, prepares agendas, reserves and prepares facilities, and records and transcribes minutes of meetings
Assists with seminars by preparing presentation materials and coordinating customer and prospect mailings
Calls clients for various reasons, including appointment confirmations and follow up
Greets scheduled visitors and conducts to appropriate area or person(s)
Processes securities transactions when appropriate
Calls to inform clients of market fluctuations and purchase and sale of securities affecting their accounts
Assists in business development at the direction of the Investment Executive(s)
Reads and routes incoming mail. Locates and attaches appropriate file to correspondence to be answered by Investment Executive
Composes and types routine correspondence
Prepares outgoing mail and correspondence, including e-mail and faxes
Maintains appropriate level of sales literature and prospectuses, and ensures that prospectuses are current
Orders and maintains supplies, and arranges for equipment maintenance
Will be required to travel to various locations as needed
Complies with all applicable federal and state laws and regulations
“LIVE” the Bank’s Mission Statement and “PRACTICE” the Bank’s Corporate Strategy
20140730

Registered Sales Assistant Resume Examples & Samples

Provides investment and insurance support by establishing new accounts for clients by inputting the information into the Pershing system and creating client files. Assist sales team with seminars, telemarketing, and other proactive steps to produce new business (i.e., developing newsletters, invitations, etc.). Review pending trade settlements to ensure timely payment and receipt of funds. Maintaining current knowledge of market activities and product offerings to ensure full support to sales team
Develop and maintain comprehensive understanding of client goals and risk tolerance to provide superior client support and service including but not limited to problem solving, providing updates and answering questions regarding account activity, market quotations, trade transactions, process transaction requests, etc. while communicating changes to sales team. Ensures financial strategies are kept current and appropriately aligned with client objectives. Establishes, oversees and measures client service expectations
Independently and proactively support the sales team selling process to include recommending content and preparing presentation, in depth prospect research and updating customer profiles with analysis to identify cross sales opportunities. Use in depth knowledge of system to record and manages sales activities. Works closely with sales leads to monitor and report sales activities. Make recommendations to enhance sales tools, processes and systems. May participate in client meetings
Provides administrative support to sales team with books of business for mid to high complexity. This may include proactive and advanced involvement in prospect and client correspondence. Coordination and analysis of data crucial to managing the book of business. Ensure office signage is compliant and brochures are current. Assist sales team by setting appointments and preparing necessary information for client reviews. Maintain client files by ensuring that relevant documentation if maintained
Ensure effective transaction processing including inputting trade orders, submitting documentation to Operations and monitoring the requires steps which follow. Perform MoneyGuide Pro data entry and may enter JCORE notes as directed. Coordinate with the Operations as needed regarding documentation, procedures, commission accounting, etc. May function as a central point of contact between sales support, sales team, and operations in the absence of the supervisor
May assist in the onboarding of new colleagues and may mentor other support team members. May participate in team projects and participates in line of business projects
Maintain extensive knowledge of all AIS and Associated policies and procedures with an emphasis on BSA and KYC/KYA/CIP. Ensure consistency with regards to how policies and procedures are applied and followed. Works with sales team to ensure that account administration and risk management of each client relationship is in compliance with established policies, procedures, regulatory guidelines and business strategy. Can identify deficiencies, recommend solutions and implement changes to correct and bring issues to the attention of the supervisor. Assists in gathering documents for branch audits

Registered Sales Assistant Resume Examples & Samples

Provides assistance to Sales Representatives and other RSAs as necessary
Relieves the Sales Repsentatives of operational/ administrative duties, allowing Sales Reps to concentrate efforts on selling
Performs a variety of tasks for simple to moderately complex transactions or processes that require general knowledge of products and services
Takes and executes simple or routine solicited/unsolicited orders in Sales Rep’s absence
Assists with administrative support of client accounts; heavy client contact assisting with bids and offers, questions and problem solving; process client requests; heavy phone contact – ability to relay & coordinate; handle multiple tasks; maintain files; project oriented; other clerical duties as directed
1-2 year’s industry experience required
Excellent communication and administrative skills required
Prioritization and the ability to handle multiple tasks and meet tight deadlines required
Commitment to quality customer service is required

Registered Sales Assistant Resume Examples & Samples

Support assigned market areas administratively and operationally
Interface with all lines of business and make appropriate referrals
Assist assigned Financial Consultant with portfolio evaluation
Client relationship management
Compliance with banking, investment and insurance regulations
Complete paperwork for investments and insurance within set standards
Handle routine maintenance and service requests
Handle administrative and clerical duties (i.e. letter writing, appointment set up, filing, telephone calls, requested and required reports)
Prospect and profile new customers
Special event coordination
Execution of unsolicited orders
Offer mutual funds, equities, bond, UIT's and annuities to both internal and external customers (for Investment/Insurance Sales Managers)
College degree (finance/economics) strongly preferred
Series 7/63 and 66 or Series 7/65 and Life license required
Previous sales experience in an investment program preferred
Excellent organizational skills required
Proven ability to work independently required

Registered Sales Assistant Resume Examples & Samples

Open new accounts, obtain required information, verify accuracy, and enter into system. Set up and maintain related files and documentation
Take and/or Enter customer orders via Backoffice to exchanges and trading room, at request of broker or customer
Check reports and trade confirmations on past transactions to determine accuracy, identify any discrepancies and resolve
Respond to customer requests, provide information and resolve problems
Perform miscellaneous duties such as type correspondence and documents; answer telephones and take messages; greet visitors; make travel arrangements; make copies; mail printed materials; file; maintain reference books and materials
Perform other tasks as assigned by management

Registered Sales Assistant Resume Examples & Samples

60% Financial Planning & Advice / Product Solutions
Prepare preliminary financial planning recommendations and initial product solutions for advisor review and use in client meetings
Prepare charts, graphs, tables and other visual aids to be used in implementation meetings with clients
Develop portfolio/robust product solution recommendations that will fit the client’s risk tolerance and time frame as well as develop appropriate product deliverables
40% Client Care / Business Management
Maintain client contact during the financial planning process. Answer questions and provide readily available information to clients, if requested and as allowable, as it relates to servicing their accounts
Review and update client information as needed for client review meetings. Attend and participate in client meetings if necessary
Manage and resolve client service problems
Perform other allowable duties as assigned by the financial advisor(s)