What are the responsibilities and job description for the Sales Assistant – Broker/Dealer position at Financial Advisory Firm?
Overview:
We are seeking a highly organized and detail-oriented Sales Assistant to support a team of financial advisors within a fast-paced Broker/Dealer environment. This role is critical to ensuring seamless client service, efficient operations, and advisor productivity.
2 positions available: NYC & Melville, NY
Key Responsibilities:
- Provide day-to-day administrative and operational support to financial advisors
- Assist with account opening, maintenance, and documentation processing
- Coordinate client communications and follow-ups
- Prepare and process paperwork related to trades, transfers, and client requests
- Interface with internal departments including Operations, Compliance, and Trading
- Maintain accurate client records and ensure adherence to firm and regulatory requirements
- Support scheduling, meeting preparation, and client onboarding
- Handle incoming client inquiries in a professional and timely manner
Qualifications:
- Prior experience in a Broker/Dealer or financial services environment preferred
- Strong understanding of brokerage operations and account types (preferred)
- Excellent organizational skills and attention to detail
- Ability to multitask and work under tight deadlines
- Strong communication and interpersonal skills
- Proficiency in Microsoft Office and industry systems (e.g., CRM, clearing platforms)
- Active FINRA SIE, Series 99 and/or Series 7 licenses (or the ability to obtain them upon hire).
What We Offer:
- Competitive compensation plus bonus opportunities
- Opportunity to work closely with experienced advisors and leadership
- Exposure to all facets of broker/dealer operations
- Growth potential within a dynamic and expanding firm
- 401(K)
- Dental, Health & Vision insurance
- Paid time off
Schedule:
Monday thru Friday
Pay: $65,000.00 - $85,000.00 per year
Benefits:
- 401(k)
- Dental insurance
- Health insurance
- Paid time off
License/Certification:
- Series 99 or Series 7 (Required)
Work Location: In person
Salary : $65,000 - $85,000