What are the responsibilities and job description for the Registered Sales Assistant position at Crawford Thomas Recruiting?
Registered Sales Assistant (Series 7 Required)
Newport Beach, CA (Fully Onsite)
$85,000–$90,000 base (negotiable)
About The Opportunity
Our client, a Newport Beach–based financial services firm, is seeking a Registered Sales Assistant to support client onboarding, account management, and daily office operations. This is a fully onsite role in a fast-paced, professional environment with a collaborative, family-like culture. The position offers long-term growth opportunities as responsibilities expand over time.
Key Responsibilities
Client Onboarding & Support
Assist new clients with asset rollovers from outside accounts or current employers
Manage document tracking, electronic filing, and client follow-up calls
Client Communication
Keep clients informed about rollover status through calls and updates
Respond to questions and ensure smooth transitions of assets
Office Administration
Collect and route mail to compliance daily
Maintain office appearance, stock supplies, and prepare conference rooms
Call Management
Answer inbound calls, process client requests (e.g., wire transfers), and route calls appropriately
Client Relationship Management
Maintain relationships with mutual fund companies; track monthly meetings and allocations
Execute trades, facilitate capital withdrawals, and perform account maintenance
Compliance & Reporting
Manage compliance logs (client gifts, company receipts, etc.)
Support management with ad hoc tasks
Qualifications
Series 7 license required
5 years of experience as a Registered Sales Assistant (10 years preferred)
Strong client service, organizational, and communication skills
Benefits
401(k) with matching
Health, dental, vision, and life insurance
Flexible spending account
Paid time off
Monday–Friday schedule (8-hour shifts)
,
Newport Beach, CA (Fully Onsite)
$85,000–$90,000 base (negotiable)
About The Opportunity
Our client, a Newport Beach–based financial services firm, is seeking a Registered Sales Assistant to support client onboarding, account management, and daily office operations. This is a fully onsite role in a fast-paced, professional environment with a collaborative, family-like culture. The position offers long-term growth opportunities as responsibilities expand over time.
Key Responsibilities
Client Onboarding & Support
Assist new clients with asset rollovers from outside accounts or current employers
Manage document tracking, electronic filing, and client follow-up calls
Client Communication
Keep clients informed about rollover status through calls and updates
Respond to questions and ensure smooth transitions of assets
Office Administration
Collect and route mail to compliance daily
Maintain office appearance, stock supplies, and prepare conference rooms
Call Management
Answer inbound calls, process client requests (e.g., wire transfers), and route calls appropriately
Client Relationship Management
Maintain relationships with mutual fund companies; track monthly meetings and allocations
Execute trades, facilitate capital withdrawals, and perform account maintenance
Compliance & Reporting
Manage compliance logs (client gifts, company receipts, etc.)
Support management with ad hoc tasks
Qualifications
Series 7 license required
5 years of experience as a Registered Sales Assistant (10 years preferred)
Strong client service, organizational, and communication skills
Benefits
401(k) with matching
Health, dental, vision, and life insurance
Flexible spending account
Paid time off
Monday–Friday schedule (8-hour shifts)
,
Salary : $85,000 - $90,000