Job description

Registered Sales Assistant

The AAM Registered Sales Assistant uses advanced skills gained through training and experience to provide pro-active support for our various Financial Advisor teams in an accurate, timely, professional, and knowledgeable manner. The RSA will have extensive interaction with both internal and external clients to address all inquiries, prepare and distribute paperwork, open new accounts, and respond to account maintenance or service requests. FINRA Series 7 required.

Location Available: Melville, NY / Boerne, TX

ESSENTIAL RESPONSIBILITIES:

• Provides general clerical and sales support for one or more registered professional or sales team.
• Interacts daily on the phone with prospective and existing clients including handling basic inquiries.
• Opens new accounts, processes orders for existing clients, and answers questions regarding the Firm’s products and services.
• Researches client and security information through the back-office system and communicates with the back-office personnel of the broker dealers, Registered Investment Advisors and custodial firms to insure all trades are processed correctly.
• Reviews and enters trade tickets into proprietary system in a timely manner consistent with contra firm rules and FINRA and NSRB reporting requirements. Processes errors and trade corrections in accordance with the firm policies and contra firm operating procedures.
• Reviews, researches, and corrects trade breaks in various fail reports on a daily basis.
• Responds in a timely manner to Municipal Securities Rulemaking Board (MSRB) and Trade Reporting and Compliance Engine (TRACE) violation inquires.
• Enters bond portfolios into proprietary system as requested by the teams supported.
• Maintains databases and creates reports using various programs as required.
• Processes and follows up on client documentation for proper maintenance of accounts.
• Prepares letters, forms, reports and spreadsheets to assist with servicing existing clients and prospecting for new clients.
• Ensures required client paperwork is current with firm and industry requirements, rules and regulations.
• General administrative support, answering phones, taking small trade orders, completing expense reports, making travel arrangements and preparing marketing materials for distribution. Cross trains, interacts with, and provides backup support to other Operations personnel and Registered Sales Assistants.
• Perform other job-related duties as assigned

EDUCATION and/or EXPERIENCE:

• 1-3 years of experience in the financial services industry
• Required Education: Bachelor’s degree preferred
• Required Certifications: FINRA SIE & Series 7

QUALIFICATIONS:

• Experience with Microsoft Office Suite (Word, Excel, Outlook, Power Point), Internet and contact management systems
• Must have excellent organizational and communication skills and have the ability to work on a team and perform independent
• Professional, service-oriented demeanor with pleasant, business-appropriate phone manners
• Ability to organize, manage and track multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment
• Detail orientation to ensure the accuracy of reports, correspondence and databases.
• General mathematics to sufficiently process account and transaction information

For over 40 years, AAM has been a trusted resource for financial professionals and broker/dealers. We offer access to UITs, open- and closed-end mutual funds, separately managed accounts (SMAs), structured products and the fixed income markets, as well as portfolio analytics and now exchange-traded funds (ETFs). Advisors Asset Management, Inc. (AAM) is a SEC registered investment advisor and member FINRA/SIPC.

As of June 30, 2022, the brokerage and advised business at AAM represents approximately $39.2 billion in assets. (Assets under supervision represent $5.8 billion in UIT assets. The firm has $30.4 billion in assets under administration that represents the non-proprietary assets for which AAM provides various levels of service, but not management. The firm's $3.0 billion in assets under management represents AAM's proprietary separately managed account, mutual fund and ETF assets.)

AAM is a broker/dealer, member FINRA/SIPC and SEC registered investment advisor. For more information, visit www.aamlive.com.

Advisors Asset Management is an Equal Opportunity Employer and a participant in E-Verify.

Job Type: Full-time

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