REGISTERED CLIENT SERVICE ASSOCIATE (SERIES 7 LICENSED)

We are currently seeking a Licensed Sales Assistant for a client in Copley, OH.
Our Client is seeking a highly motivated, detail-oriented, and client-focused Sale Assistant to join their growing team. This is a critical role for an individual who holds an active Series 7 license and is passionate about supporting financial advisors and serving clients with integrity and efficiency.

Pay:

• $50,000 - $60,000/year +Bonuses

Shift:

• Mon-Fri 8:45am-5:00pm

Key Responsibilities:

• Serve as a primary point of contact for client inquiries via phone and email, providing exceptional service and accurate information
• Process client requests for new accounts, transfers, distributions, and other investment-related transactions, ensuring accuracy and compliance with regulatory requirements
• Execute securities trades (e.g., mutual funds, equities, bonds) as directed by advisors and clients, adhering to firm policies and industry regulations
• Monitor and track the status of client transactions and follow up as needed to ensure timely completion
• Support financial advisors in preparing for client meetings, including generating reports, compiling performance data, and creating presentation materials
• Assist with the onboarding process for new clients, ensuring all required documentation is completed and processed efficiently
• Help maintain accurate client records and data within CRM and other financial planning software
• Facilitate communication between advisors, clients, and custodians/broker-dealers
• Ensure all activities are conducted in full compliance with FINRA, SEC, and other relevant regulatory guidelines, as well as firm policies and procedures
• Maintain strict confidentiality of all client information
• Assist with any compliance-related documentation or audit preparation as needed
• Assist with scheduling client appointments and managing advisor calendars

Minimum Qualifications:

• Active FINRA Series 7 License is Required
• A Bachelor’s degree in Finance, Business Administration, or a related field is preferred, but equivalent work experience will be considered
• Minimum of 2 years of experience in a client service or operations role within a financial advisory firm, brokerage firm, or wealth management practice
• Strong understanding of investment products (mutual funds, stocks, bonds, annuities, etc.) and financial industry operations
• Proficiency in CRM software (e.g., Salesforce, Redtail), Microsoft Office Suite (Word, Excel, Outlook, PowerPoint), and financial planning software
• Ability to manage multiple priorities in a fast-paced environment while maintaining composure and accuracy
• Proactive, self-starter with a strong work ethic and ability to work both independently and as part of a team

Benefits:

• Medical Insurance
• Dental Insurance
• Vision Insurance
• Direct Deposit
• More benefits once hired in

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Employ-Temps Staffing Services provides equal employment opportunities to all employees and applicants for employment and prohibits discrimination and harassment of any type without regard to race, color, religion, age, sex, national origin, disability status, genetics, protected veteran or military status, sexual orientation, gender identity or expression, political beliefs, or any other characteristic protected by federal, state or local laws.

• Serve as a primary point of contact for client inquiries via phone and email, providing exceptional service and accurate information
• Process client requests for new accounts, transfers, distributions, and other investment-related transactions, ensuring accuracy and compliance with regulatory requirements
• Execute securities trades (e.g., mutual funds, equities, bonds) as directed by advisors and clients, adhering to firm policies and industry regulations
• Monitor and track the status of client transactions and follow up as needed to ensure timely completion
• Support financial advisors in preparing for client meetings, including generating reports, compiling performance data, and creating presentation materials
• Assist with the onboarding process for new clients, ensuring all required documentation is completed and processed efficiently
• Help maintain accurate client records and data within CRM and other financial planning software
• Facilitate communication between advisors, clients, and custodians/broker-dealers
• Ensure all activities are conducted in full compliance with FINRA, SEC, and other relevant regulatory guidelines, as well as firm policies and procedures
• Maintain strict confidentiality of all client information
• Assist with any compliance-related documentation or audit preparation as needed
• Assist with scheduling client appointments and managing advisor calendar