What are the responsibilities and job description for the Executive Assistant / Registered Sales Assistant position at Vista Wealth Solutions?
Executive Assistant / Registered Sales Assistant to Financial Planners
Position Overview
We are seeking a detail-oriented and highly organized Executive Assistant / Registered Sales Assistant to support Financial Planners within a broker-dealer environment. This role is critical in delivering compliant, efficient administrative and client service support while ensuring adherence to regulatory standards. The ideal candidate thrives in a structured environment and takes pride in accuracy, consistency, and professionalism.
Core Responsibilities
First 90 Days
Position Overview
We are seeking a detail-oriented and highly organized Executive Assistant / Registered Sales Assistant to support Financial Planners within a broker-dealer environment. This role is critical in delivering compliant, efficient administrative and client service support while ensuring adherence to regulatory standards. The ideal candidate thrives in a structured environment and takes pride in accuracy, consistency, and professionalism.
Core Responsibilities
- Provide administrative and operational support to registered Financial Planners
- Prepare client meeting materials, account documentation, and transaction support
- Process new accounts, ACATs, service requests, and follow-ups in accordance with broker-dealer and FINRA requirements
- Coordinate client communications related to paperwork, scheduling, and service needs
- Maintain accurate and up-to-date client records within CRM and broker-dealer systems
- Support advisors with trade processing preparation (non-discretionary) and documentation tracking
- Assist with compliance-related tasks, supervision requirements, and document retention
- Manage calendars, appointments, and workflow priorities for multiple advisors
- Serve as a professional, client-facing point of contact while maintaining confidentiality and regulatory standards
First 90 Days
- Complete training on broker-dealer platforms, compliance procedures, and internal workflows
- Independently manage client service requests and administrative tasks with accuracy
- Demonstrate understanding of policies, advertising rules, and documentation standards
- Build trust with advisors through reliability, organization, and responsiveness
- Fully integrated as a key support partner to Financial Planners
- Consistently deliver compliant, error-free administrative and client service support
- Effectively manage high-volume paperwork and service activity with minimal supervision
- Proactively identify process improvements within broker-dealer guidelines
- Earn trust from advisors, clients, and compliance partners
- 2 years of experience in a broker-dealer, wealth management, or financial services support role
- Prior experience as an Administrative Assistant, Sales Assistant, or Client Service Associate preferred
- Bachelor’s degree preferred (or equivalent industry experience)
- Familiarity with broker-dealer systems, custodial platforms, and CRM tools
- Strong attention to detail and ability to follow regulatory procedures
- Excellent communication, organization, and time-management skills
- High level of professionalism and discretion when handling sensitive financial information
- FINRA registration preferred (Series 7 and/or Series 63/65/66 a plus)
- Unlicensed candidates must be willing to obtain required registration if the role evolves into a Registered Sales Assistant position
- Reports directly to Financial Planners / Registered Representatives
- Collaborates closely with broker-dealer operations, supervision, and compliance teams