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Top 50 Registered Sales Assistant Skills

Below we've compiled a list of the most important skills for a Registered Sales Assistant. We ranked the top skills based on the percentage of Registered Sales Assistant resumes they appeared on. For example, 12.3% of Registered Sales Assistant resumes contained Customer Service as a skill. Let's find out what skills a Registered Sales Assistant actually needs in order to be successful in the workplace.

These are the most important skills for a Registered Sales Assistant:

1. Customer Service

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high Demand
Here's how Customer Service is used in Registered Sales Assistant jobs:
  • Provided top quality customer service and assisted customers in finding products and answering questions.
  • Coordinated with various departments within to provide exceptional and efficient customer service.
  • Executed transactions, managed new account documentation and resolved customer service issues.
  • Maintained high standards of customer service during high-volume fast paced operations.
  • Greeted customers and provided exceptional customer service.
  • Work closely with other bank area officers in building customer relationships, referrals and providing seamless customer service.
  • Trained new team members in sales strategies, completing transactions, fitting room assistance and overall customer service.
  • Processed new client applications, handled customer service inquiries, and executed trades and asset movements utilizing NetX360.
  • Assisted branch manager with all aspects of his position, including customer service and human resources.
  • Maintain the proper customer service skills necessary to keep all guests happy and comfortable.
  • Provide seamless and excellent customer service, interaction, and communication.
  • Assisted guests with merchandise questions and customer service issues.
  • Provided customer service on all levels to existing customers.
  • Provided prompt, courteous customer service.
  • Performed sales/register with the goal of giving exceptional customer service Handled register during busy hours with high commands
  • Promoted new items and accessories to increase end sale, handled cash and performed sales transactions and provided exceptional customer service.
  • Recruited by DSW regional manager while working at Old Navy due to impressive with customer service and natural sales ability.
  • Level 3 Greeted customers and provided excellent customer service.
  • Register, Customer Service Stocking shelves, Cleaning Retention control
  • Inventory stocking .Fork truck operator .Customer service and sales Assembled retail products

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2. Compliance Files

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high Demand
Here's how Compliance Files is used in Registered Sales Assistant jobs:
  • Managed all compliance files and audits and generated revenues by working the existing book of business and asked for referrals.
  • Provide administrative assistance to branch manager and keep compliance files up to date for auditing.
  • Handled all incoming and outgoing correspondence and maintained the required Compliance Files.

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3. Client Relationships

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high Demand
Here's how Client Relationships is used in Registered Sales Assistant jobs:
  • Reviewed and maintained technology platforms and investment portfolio software to increase office productivity and improve client relationships with accurate consolidated reporting.
  • Opened accounts, processed transactions and quickly resolved errors, resulting in improved client relationships and ultimately improved business.
  • Partner with bank colleagues to uncover opportunities to enhance current and prospective client relationships with comprehensive financial solutions.
  • Maintain client relationships for investment executive by assisting clients through marketing of investment products and providing guidance.
  • Cultivated current and prospective client relationships, and successfully identified new business opportunities.
  • Served as liaison to clients, researched and resolved issues and inquiries, and provided support in management of client relationships.
  • Acquire and deepen client relationships through the offering of comprehensive financial and investment solutions within the branch environment.
  • Conduct both buy and sell orders, provide market color, and maintain strong client relationships.
  • Maintained Senior Vice President's client meetings to ensure efficient and successful client relationships.
  • Supported two motivated and high-producing brokers through client relationships and making trades.
  • Maintained client relationships and follow up on all client transactions and request.
  • Foster and maintain client relationships through efficient handling of inquiries and problems.
  • Develop and maintain client relationships.
  • Worked directly with the partner/owner- Michael J. Curran, Jr. to support efforts to service and grow client relationships.

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4. Financial Advisor

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high Demand
Here's how Financial Advisor is used in Registered Sales Assistant jobs:
  • Resolved client operational and administrative issues which lead to improved productivity for financial advisors.
  • Prepared presentations for Financial Advisors and reviewed client portfolios for possible sales opportunities.
  • Provided administrative support for an independent financial advisor in a small office environment.
  • Assist financial advisors with marketing efforts including website and social media maintenance.
  • Assisted financial advisors in recognizing sales opportunities and achieving production goals.
  • Provided full administrative support to team of financial advisors.
  • Supported financial advisors with daily operations, including fielding incoming calls to assess client needs and executed services.
  • Registered Sales Assistant for 6 Financial Advisors; Process and oversee incoming and outgoing correspondence; consult with clients
  • Assisted Financial Advisors in handling daily transactions in accordance with compliance, regulatory, and industry best practices.
  • Provided administrative and operational support to 3 financial advisors, one of which was associate branch manager.
  • Supported the operations of multiple financial advisors by answering several phone lines and managing client requests.
  • Supported $1 million of retail production and 500 clients for three Financial Advisors.
  • Assisted financial advisors with all the administrative and processing aspects of sales.
  • Trained administrative staff and financial advisors to use various software programs.
  • Set appointments and did light prospecting for the Financial Advisors.
  • Support Financial Advisors and clients.
  • Support Staff for Financial Advisors.
  • Fostered the successful transition of a new Financial Advisor and 200 million dollar book of business to Raymond James & Associates.
  • Supported 8 financial advisors which included creating client presentations and on board training for financial advisors.
  • Assisted four President Club Financial Advisors in the Boca Raton home office.

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5. New Accounts

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Here's how New Accounts is used in Registered Sales Assistant jobs:
  • Opened new accounts and contacted clients to relay investment recommendations or present our fee-based Portfolio Management Programs.
  • Prepared and processed documentation for new accounts and researched/resolved client service problems.
  • Opened new accounts, monitored incoming and outgoing checks, prepared client reports, provided customer service to our clients.
  • Generate all paperwork for new accounts, verify IGO, submit to broker/dealer and vendor, monitor progress.
  • Placed trades when needed, opened new accounts, prepared correspondence and proposals to clients and prospects.
  • Opened new accounts, placed orders, handled cash transactions, and resolved client issues.
  • Opened and approved all new accounts; obtained necessary documentation to meet FINRA/SEC guidelines.
  • Open new accounts, execute bond, mutual fund trades, and fund transfers.
  • Established new accounts, process investment transaction and maintained records in corporate tracking system.
  • Acquired documentation and handled due diligence for new accounts according to KYC standards.
  • Establish and maintain new accounts by filing required paperwork with the Compliance department.
  • Ensured appropriate documentation is collated for new accounts and service requests.
  • Open new accounts with strict adherence to company's AML policy.
  • Prepared new accounts documents and follow through until received.
  • Open new accounts and maintain updated client information.
  • Compile marketing and monthly sales/new accounts reports.
  • Processed administrative tasks and new accounts.
  • Correspond with clients to process check requests, complete RMDs, set up new accounts, handle asset transfers, etc.
  • Assisted six Financial Advisors with existing clients, open new accounts, follow-up, busy phones, placed orders.
  • Performed administrative functions including opening new accounts, executing trades, portfolio reporting, and research.

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6. Client Service

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high Demand
Here's how Client Service is used in Registered Sales Assistant jobs:
  • Sustained broker productivity and provided comprehensive client service during broker's extended absence.
  • Enhance business sales and productivity significantly by directly improving client service.
  • Ensured client service request be completed accurately and efficiently.
  • Research and resolve client service problems by contacting Home Office and Sponsor Companies to resolve problems or errors as needed.
  • Provided dedicated client service to the account base of a primary Managing Director, specializing in Fixed Income products.
  • Provided client service support by responding to non-sales practice complaints, inquiries and discrepancies.
  • Worked closely with all clients in all areas of client service and operations.
  • Maintained quality client service, processed orders and handled all client inquiries.
  • Acted as a liaison between private client services and key clientele.
  • Provide daily Administrative Client Service Support.
  • Personalized client service, order entry and management of Institutional accounts were my responsibilities.
  • Worked with top tier financial advisor providing exceptional client service and placing bulk trades for his actively traded discretionary accounts.
  • Created and implemented a client service model to ensure advisors meet with each client on a regular basis.
  • Provide pro-active support to financial advisors and assist with efficient and high quality client service.
  • Supported up to 5 financial advisors and managers with administrative duties and client services.
  • Provide administrative support to financial advisors and the highest level of client service.
  • Handle all aspects of client services to ensure client satisfaction.
  • Supported three Financial Advisors in the Private Client Services group.
  • Owned and resolved all client service and transaction issues .
  • Handled client service deliverables, including pre-sales presentations and after-sale processes.

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7. Income Securities

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Here's how Income Securities is used in Registered Sales Assistant jobs:
  • Researched, quoted, and sold Fixed Income securities to corporate clients, including Mutual funds, Commercial Paper, Bonds.
  • Execute purchases and sales of fixed income securities.
  • Provided client service support for high net worth accounts Handled equity and fixed income securities trading

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8. Equity

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Here's how Equity is used in Registered Sales Assistant jobs:
  • Assisted trading division in executing trades on high-volume equity-trading desk.
  • Distributed daily equity research to internal and external clients.
  • Planned annual Institutional Equity Sales Conference.
  • Conducted market research and product presentations, bought/sold equity securities and mutual funds, received and directed funds to appropriate accounts.
  • Executed US equity and emerging market fixed income trades for Latin American institutional and high net worth private clients.
  • Assisted with all aspects of investment vehicle trading; equity, fixed income, mutual funds and some derivatives.
  • Traded high volume equity and fixed income securities, processed 144 stock options, and managed IPO allocations.
  • Assisted in building and maintaining client portfolios containing a diversified array of fixed income and equity securities.
  • Assisted up to four registered investment brokers with equity transactions, investment reporting, and client billing.
  • Supported the Branch Manager of Retail Sales in all aspects of daily operations of equity business.
  • Placed equity, bond, mutual fund and UIT trades for clients and financial consultants.
  • Performed End of Day reconciliation of equity trades for a $250,000,000 book of business.
  • Create financial models - portfolio growth, private equity exposure, and market returns.
  • Place trades for clients' accounts in the fixed income and equity markets.
  • Worked with back office systems to place equity and mutual fund trades.
  • Executed equity, fixed income, option and mutual fund trades.
  • Enter Private Client Group equity and mutual funds trades.
  • Resolved standard equity and fixed income trade errors.
  • Place equity and mutual fund trades.
  • Assist Financial Advisors in entering and processing equity, mutual fund trades and annuity contracts.

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9. Financial Consultant

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Here's how Financial Consultant is used in Registered Sales Assistant jobs:
  • Assisted financial consultants in new business development, client appreciation initiations and in process review of existing relationships.
  • Prepared, organized and filed correspondence and documents for financial consultants.
  • Obtained and reviewed investment and product information for Financial Consultant.
  • Supported four Financial Consultants' businesses with administrative assistance
  • Managed all aspects of the financial consultants business freeing them to prospect for new business and increase their commission production.
  • Coordinated daily office activities for financial consultants, scheduled client meetings, and prepared documents for client reviews.
  • Started in the industry as an entry level assistant to a large producer (Financial Consultant).
  • Assisted Financial Consultant in managing over $300M in assets with revenues over $3.5M.
  • Assisted the Financial Consultant; provided high quality services to clients and prospects.
  • Assisted financial consultants with the opening and servicing of new and established accounts.
  • Acted as liaison between financial consultants and Goldman Sachs for all floater trades.
  • Worked directly with four financial consultants with over 250+ million in assets.
  • Assisted four Financial Consultants by entering buy and sell orders for investments.
  • Assist as back-up to other financial consultants and their sales assistant.
  • Provide support to financial consultants' on customer investment portfolios.
  • Worked for four Financial Consultants and assistant office manager.
  • Served as Registered Assistant for three Financial Consultants.
  • Provided support to Financial Consultants and clients.
  • Assisted three Financial Consultants with client interactions.
  • Provided support for financial consultants Created weekly reports regarding sales Aided in creation of marketing techniques Worked on various projects

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10. Drive-Through Window

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Here's how Drive-Through Window is used in Registered Sales Assistant jobs:
  • Operated the drive-through window and sales register quickly and efficiently, Built loyal clientele through friendly interactions and consistent appreciation.
  • Operated the drive-through window and sales register quickly and efficiently.

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11. High NET

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high Demand
Here's how High NET is used in Registered Sales Assistant jobs:
  • Developed professional relationships with high net worth individuals, substantially growing the number of accounts covered.
  • Executed client transactions, offered portfolio adjustment ideas, and constructed wealth management plans for high net-worth clients and institutions
  • Provided sales, operational, and administrative support for two Vice President Producers of high net worth clientele.
  • Provided customer service to investors including high net worth individuals as well as managed and wrap accounts.
  • Prospected for high net-worth clients and determined their suitability for the company's investment offerings and strategies.
  • Assisted in preparing and compiling the annual proposals and portfolio evaluation reports for high net worth customers.
  • Resolved daily account and trade requests for our high net worth clients via phone and email.
  • Worked with top producer in building client base, targeting high net worth domestic investors.
  • Worked directly with high net worth clients and prospective clients to deliver high quality service.
  • Provide comprehensive sales support for a senior sales team servicing High Net Worth private clients.
  • Executed equities, fixed income and mutual funds trades for high net worth clients.
  • Provided full administrative and operational assistance to AE and high net worth clients.
  • Provided quality service to high net worth individuals.
  • Assist several high net worth Financial Advisors through customer support, fundamental investment research, portfolio management, and trade support.
  • Contacted high net worth clients to inform them about various (Initial Public Offerings) IPOs and Limited Partnerships.
  • Executed trading for hedge funds, investment advisors, large family offices and ultra high net worth clients.
  • Maintained Bill Good contact management system for team of high net worth Advisor s book of business.
  • Generated customized income analyses and profit and loss records of high net worth individuals.
  • Worked in private wealth assisting financial advisors with their high net worth clients.
  • Supported a "President's Club" level broker servicing a high net worth client roster.

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12. Sales Assistants

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high Demand
Here's how Sales Assistants is used in Registered Sales Assistant jobs:
  • Fostered excellent administrative and customer services practices by training and mentoring sales assistants.
  • Developed Sales Assistant Training Manual and implemented that training program that resulted in higher efficiency by sales assistants.
  • Trained all new sales assistants and developed processes that improved time performing day to day administrative functions.
  • Coached and train new sales assistants on policies, procedures, and daily operating systems.
  • Created employee job manuals for Branch Administrators, Sales Assistants and Registered Representatives.
  • Train new Sales Assistants; ensure adherence to company policy and procedure.
  • Developed a training program and coached new hire Sales Assistants.
  • Managed hiring, training and supervision of 7 sales assistants.
  • Trained new sales assistants and assisted operations staff.
  • Completed Continuing Ed as required for Sales Assistants.
  • Trained new brokers and sales assistants.
  • Train entry level Sales Assistants.
  • Trained new Sales Assistants and Financial Advisors.

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13. Sales Support

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high Demand
Here's how Sales Support is used in Registered Sales Assistant jobs:
  • Provided dedicated sales support under the direction of a financial consultant to address accurate account management and revenue generation.
  • Provided Financial Consultants with administrative, operational, compliance, and sales support
  • Provided administrative office and sales support.
  • Provided sales support to a managing director and two directors covering top 100 mutual fund accounts in three territories.
  • Provided sales support to a Senior Vice President of Sales for a full service regional brokerage firm.
  • Provided sales support for two Vice Presidents, initiated and implemented specialized prospecting; increased client base.
  • Provided sales support for four representatives focused on fixed income sales and services.
  • Recruited to provide full-service sales support to an over $175 million portfolio.
  • Manage all operations and investment sales support activities for 200+ client base.
  • Provided sales support and assisted in asset allocation and performance.
  • Demonstrated ability in the provision of sales support services.
  • Provide sales support to Financial Consultants in various locations.
  • Worked as key sales support for five institutional brokers.
  • Provided sales support consisting of opening and servicing accounts.
  • Supervised sales support staff of 15.
  • Provided sales support to financial consultants.
  • Provided branch training programs to sales support staff regarding fundamentals of the securities industry.
  • Retail assistant providing sales support to six Financial Advisors.
  • Provided administrative, operational and sales support for the Financial Advisor to allow the financialadvisor to increase his sales.

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14. Client Meetings

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high Demand
Here's how Client Meetings is used in Registered Sales Assistant jobs:
  • Handled busy phones for account executives, opened and processed mail, scheduled client meetings and completed projects as needed.
  • Assisted with client meetings and monthly seminars to include the planning, marketing and locating funding for all seminars.
  • Work closely with all product development departments to create and maintain marketing materials for sales presentations and client meetings.
  • Assisted each broker with scheduling client meetings, cost basis, check requests, incoming and outgoing wires.
  • Managed new and existing client accounts; facilitated client meetings.
  • Provide performance reports for client meetings and asset allocation planning.
  • Prepared presentations and reports for client meetings and prospective accounts.
  • Assisted with preparation for client meetings.
  • Worked independently with Financial advisor to identify and follow up on prospective clients, assisted with client meetings and seminars.
  • Attend client meetings with advisor; monitor and notate discussions and progress.
  • Prepared agendas and compiled all materials prior to Advisor/Client meetings.
  • Assisted Financial Advisors in preparing proposals for their client meetings.
  • Scheduled, confirmed, and prepared for client meetings Composed client and interoffice correspondence Processed applications, forms, and documents

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15. Financial Plans

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Here's how Financial Plans is used in Registered Sales Assistant jobs:
  • Worked alongside the Certified Financial Planner assisting with development of financial plans.
  • Answered clients' questions about the purposes and details of financial plans and strategies.
  • Prepare and complete financial plans through the NaviPlan tool.
  • Assist with setting up financial plans for new clients.
  • Placed trades and ran Financial Plans.

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16. Customer Accounts

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Here's how Customer Accounts is used in Registered Sales Assistant jobs:
  • Responded to compliance division inquiries, providing accurate documentation regarding customer accounts and suitability of investment products.
  • Worked with Manager and other Financial Consultants opening and maintaining customer accounts.
  • Prepare reports summarizing daily transactions and earnings for individual customer accounts.
  • Maintained detailed records of daily trading activity in customer accounts, as well as monthly portfolio valuations and yearly profit/loss statements.
  • Open and maintain customer accounts.
  • Support three Financial Advisors: Open customer accounts, process transfer of assets, and many other account maintenance duties.
  • Assist Office Manager and Financial Advisor opening and maintaining customer accounts.

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17. High Standards

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18. Cost Basis Information

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Here's how Cost Basis Information is used in Registered Sales Assistant jobs:
  • Gathered & input cost basis information.

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19. Client Contact

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Here's how Client Contact is used in Registered Sales Assistant jobs:
  • Assisted branch office by managing client contacts, account transactions and outgoing correspondence while staying current with system and regulatory changes.
  • Managed and brokered commodity department, including commodity trading, cashiering, accounting, compliance and client contact for firm.
  • Created Managing Director's client contact data base using Excel spreadsheets, gave quotes from NYSE, CBOT etc.
  • Maintain extensive client contact; involved in all activities that touch prospective or existing clients.
  • Increased client contact, including resolving their inquiries and general maintenance of accounts.
  • Receive all incoming client contact and complete account maintenance and requests.
  • Organized appointments and client contacts for financial advising team.
  • Engaged in high level client contact.
  • Assisted with administrative support of clients' accounts * Heavy client contact assisting with trades * Processing clients' requests

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20. Client Inquiries

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Here's how Client Inquiries is used in Registered Sales Assistant jobs:
  • Reviewed, investigated and resolved client inquiries Additional Responsibilities
  • Point of contact for all client related needs including executing trades, responding to client inquiries, and resolving issues.
  • Served as a Liaison for all client inquiries both verbally and written with our Customer Support Team.
  • Responded to client inquiries regarding statements, executed orders, quotes, products, and account activity.
  • Executed trades, respond to client inquiries, posts transactions, provides quotes and monitor accounts.
  • Collaborated with clients and traders in trade resolution and responded to all client inquiries.
  • Responded to client inquiries, resolved problems and followed up to assure satisfaction.
  • Handled client inquiries on balance, transfers and accounts.
  • Responded to client inquiries and resolved account problems.
  • Handled all client inquiries and service needs.
  • Handled client inquiries and trades.

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21. Heartfelt Hospitality

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22. Finra

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Here's how Finra is used in Registered Sales Assistant jobs:
  • Reviewed/approved: new business/transactions for completeness and suitability; incoming/outgoing correspondence for compliance; advertising/sales literature for FINRA standards.
  • Prioritized and executed multiple objectives, projects, or tasks simultaneously while adhering to the firm and FINRA policies and objectives.
  • Assisted investors with trades, ensuring that all trading activity complied with SEC, FINRA and internal compliance regulations and guidelines.
  • Marketed insurance for producer; ensured FINRA/SEC transactions complied with ethical standards and regulations.
  • Ensured compliance of all FINRA, federal, state and firm policies and regulations.
  • Managed yearly FINRA registration, license, error and omission renewals.
  • Maintained proper documentation as required by the SEC and FINRA.
  • Maintained records and documents suitable to FINRA requirements.
  • Complied with all SEC and FINRA regulations.
  • Acquired FINRA Series 7 and Series 63 licenses.
  • Obtained FINRA Series 7, 63 Licenses.

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23. Account Maintenance

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Here's how Account Maintenance is used in Registered Sales Assistant jobs:
  • Process trade requests and administrative account maintenance for clients
  • Provided account maintenance, and monitored daily sales activity to ensure trades were matched correctly.
  • Develop Leads, Consult Clients, Account Maintenance, Investment Sales.
  • Performed account maintenance including money transfer requests and address changes.
  • Perform account maintenance and updates.

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24. Food Preparation

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Here's how Food Preparation is used in Registered Sales Assistant jobs:
  • cashier, drive thru, customer service, food preparation, cleaning.

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25. Phone Calls

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Here's how Phone Calls is used in Registered Sales Assistant jobs:
  • Completed follow-up telephone calls for investment analysis meetings.
  • Screened visitors and phone calls seeking the CEO, answering their questions or directly resolving the situation personally.
  • Answer phone calls and direct calls to appropriate parties or take messages.
  • Assisted elderly patients with everyday needs Answered phone calls concerning patients and their needs Motivated patients to engage in stimulating activities
  • Filed and organized files Answered phone calls and made phone calls Interacted with customers Microsoft and Excel

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26. Wealth Management

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Here's how Wealth Management is used in Registered Sales Assistant jobs:
  • Supported two financial consultants in servicing a private wealth management practice.
  • Provided outstanding sales support services to global financial services firm offering wealth management and investment and banking services to clients.
  • Supported wealth management team with book over 900 million AUM.
  • Assisted a large producer with wealth management proposals.
  • Place trades requested by the Financial Planners* Act as liaison between Advertising Compliance department at LPL Financial and Clute Wealth Management.
  • Process annual amendment and any other necessary paperwork required for Clute Wealth Management's RIA* Obtained Series 63 License in 2006
  • Provided transition support for 90 days to assist broker in moving 30+ million in assets to Seacoast Wealth Management.
  • Updated quarterly wealth management research reports for advisor's presentation use.

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27. Account Transfers

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Here's how Account Transfers is used in Registered Sales Assistant jobs:
  • Prepare all new business and process all paperwork including new business set up and account transfers.
  • Created new accounts, processed check deposits, journals, account transfers and rollovers.
  • wire transfers, check requests, account transfers, quote preparations, and settlements.
  • Notified Advisors of account transfers and terminations.

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28. Client Files

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Here's how Client Files is used in Registered Sales Assistant jobs:
  • Transitioned 500 client files from a large broker dealer to a small local broker dealer with all customers completing new paperwork.
  • Organize and prepare routine client files, correspondence, sets ups and closes, as needed.
  • Maintained client files, including making sure all information was correct and up to date.
  • Established client files, opened and closed accounts, customer service, Web-ex seminars.
  • Maintained client files, processed outgoing wires and outgoing checks.
  • Organized and maintained client files and required branch compliance files.
  • Secured letters of authorization for transactions and maintained client files.
  • Opened new client accounts and maintained client files.
  • Maintain client files and records.
  • Maintained client files to firm standards to keep Financial Advisors in compliance.
  • Perform all other operational functions Maintain client files and records.

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29. Account Opening

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Here's how Account Opening is used in Registered Sales Assistant jobs:
  • Coordinated client account opening sessions to ensure effective brokerage account opening.
  • Initiated and maintained account openings.
  • Process all necessary paperwork for New Account Openings, Alternative Investments, Annuities, and Insurance products.
  • Prospect and client meeting preparations, facilitation of account opening, transfers and new products purchases.
  • Identify problem areas within the filing and new account opening processes and suggest appropriate solutions.
  • Coordinate attendee responses and confirm their Worked with clients to complete required account opening documents.
  • Manage core account maintenance, including account opening, documentation and money transfers.
  • Generate proper paperwork to send to client for new account opening.
  • Account opening, transfers, distributions and beneficiary changes.
  • Reviewed and processed client transactions including trading, account opening, and funds distribution.
  • Assist Financial Advisors with administrative tasks, such as account opening and maintenance.
  • Assist Advisors by compiling marketing and account opening packets for client meetings.
  • Handled all of the administrative duties, account opening and servicing.

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30. Monetary Transactions

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31. Trade Orders

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Here's how Trade Orders is used in Registered Sales Assistant jobs:
  • Obtain approval from the Registered Representatives to execute and confirm client trade orders.
  • Assisted with trade orders and account documentation for various investment activities.
  • Accepted, executed and recorded trade orders from clients.
  • Received client investment trade orders.
  • Insured stock/bond trade orders were accurate and executed in a timely manner.

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32. Office Supplies

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Here's how Office Supplies is used in Registered Sales Assistant jobs:
  • Ordered office supplies and marketing materials; adhered to all regulatory compliance policies and company practices.
  • Sorted and distribute incoming mail, maintained numerous office files and ordered office supplies.
  • Scheduled meetings, processed T&E reports, ordered office supplies.
  • Ordered all office supplies including prospectuses and other related sales material.
  • Maintained office supplies, coordinated appointments, meetings and special events.
  • Ordered office supplies via a company wide computer program.
  • Maintained office equipment, office supplies, equipment leasing.
  • Manage office supplies and equipment for the firm (home & branch).

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33. Expense Reports

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Here's how Expense Reports is used in Registered Sales Assistant jobs:
  • Completed and analyzed detailed expense reports versus assets raised monthly.
  • Provide support for three fixed income sales representatives by managing client accounts, processing expense reports, and arranging travel.
  • Completed all training, support firms principals, expense reports, support FA's and their business objectives.
  • Process expense reports, create and maintain spreadsheets and monthly account tracking reports.
  • Scheduled business trips and submitted expense reports on a timely basis.
  • Process travel and expense reports for reimbursement.
  • Completed and analyze expense reports.
  • Maintain business and personal calendar for Director Generate expense reports for employee reimbursement.
  • Organize expense reports to turn into main office.

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34. Travel Arrangements

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Here's how Travel Arrangements is used in Registered Sales Assistant jobs:
  • Make travel arrangements for executives.
  • Coordinated calendars and travel arrangements.
  • Managed calendar and travel arrangements.
  • Coordinated travel arrangements, maintained database and ensured the delivery of premium service to clients.

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35. Brokerage Accounts

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Here's how Brokerage Accounts is used in Registered Sales Assistant jobs:
  • Assisted a representative with annuities, life insurance, IAR products, and mutual funds within and outside of brokerage accounts.
  • Monitored Account Transfers, IRA Distributions, and Systematic Withdrawal Plans for Advisory and Brokerage Accounts.
  • Assisted partnership group in managing brokerage accounts (assets totaling over $1 billion).
  • Established and maintained new brokerage accounts, while verifying that all required documentation was obtained.
  • Monitored brokerage accounts, maintained compliance and due diligence files.
  • Opened brokerage accounts on system and made updates as necessary.
  • Monitored brokerage accounts for debit balances and margin calls.
  • Deposit stock certificates and funds into brokerage accounts.
  • Open new brokerage accounts and transfer securities from contra-firms.

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36. Safe Environment

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Here's how Safe Environment is used in Registered Sales Assistant jobs:
  • Maintained a clean and safe environment.
  • Maintained clean and safe environment, including kitchen, bathrooms, building exterior, parking lot, dumpsters, and sidewalk

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37. New Clients

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Here's how New Clients is used in Registered Sales Assistant jobs:
  • Collaborated with senior management on all aspects of daily operations resulting in a 40% increase of prospective new clients.
  • Analyze asset allocation, portfolio risk using Riskalyze to facilitate the account review process as well as acquiring new clients.
  • Provided operational and administrative support for Investment Executives (client meetings, on-boarding new clients, marketing, etc ).

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38. Life Insurance

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Here's how Life Insurance is used in Registered Sales Assistant jobs:
  • Prepared risk management recommendations using term, whole life, and universal life insurance products.
  • Supported sales of fixed and variable annuities, term, variable and whole life insurance.
  • Established clientele Life Insurance policies- Split dollar, Trusts, Health and Long-term Care.
  • Correspond with Life Insurance Companies to assist in client requests and processes.
  • Assisted in placement of life insurance with 10mm+ face amount and diversified variable annuity strategies/subaccount selection and analysis
  • Worked with Financial Advisor on processing Life Insurance paperwork
  • Proofread and submitted life insurance applications and followed through on approvals in a timely manner.

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39. Sales Floor

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Here's how Sales Floor is used in Registered Sales Assistant jobs:
  • Reorganized register, sales floor, and shoe warehouse at the end of every shift.
  • Worked on the sales floor selling shoes and accessories to meet daily sales quotas.
  • Helped with inventory, stock sales floors, assist at registers
  • Stock impulse items at the registers and sales floor.
  • Direct sales/merchandising of apparel on sales floor.
  • Greet and assist customers on sales floor.
  • Cash register and sales floor - Provide excellent customer service while pushing all promotions and following company policies and procedures.
  • Sew Special May-Present 2016Duties: Recover sales floor, cut fabric, assist customers
  • Assisted customers on the sales Floor .
  • Assist customers on the sales floor Stock and straighten merchandise Unload trucks Complete planograms Completed cycle counts and inventory with RF gun
  • Cash registry Sales floor Back stock and replenish products Customer service Keeping the environment/store clean and hazards lookout Masterson Personnel/Quad graphics

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40. High Volume

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Here's how High Volume is used in Registered Sales Assistant jobs:
  • Processed securities, check requests, and wire requests in a high volume, fast paced environment.
  • Maintained high standards of customer service during high volume face paced operations.
  • Managed high volume of calls, kept client files organized and up-to-date
  • Handle high volume of problem solving and incoming calls.
  • Register during high volume customer times Customer service
  • Assisted clients and advisors in a high volume in-coming phone queue, providing an excellent standard of customer service.

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41. Investment Strategies

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Here's how Investment Strategies is used in Registered Sales Assistant jobs:
  • Analyzed customer financial information to establish investment strategies that meet customer needs.
  • Researched securities products and developed investment strategies.
  • Provide advice to customers on securities purchases by informing them of current market trends and recommending appropriate investment strategies.
  • Marketed life insurance, investment strategies and annuity products to clients.

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42. Acat

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Here's how Acat is used in Registered Sales Assistant jobs:
  • Assemble Routine Financial Reports, Prepare and Process Incoming and Outgoing (ACAT).
  • Assisted three financial advisors with daily operational duties Executed ACAT transfers, wire and check requests Performed necessary administrative duties

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43. Nasd

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Here's how Nasd is used in Registered Sales Assistant jobs:
  • Audit and verify all new account applications for accuracy & completion of information as required by NASD and FED auditors.
  • Ensured satellite office compliance with industry requirements and FINRA (formerly NASD) and SEC regulations.
  • Acquired necessary licensing required by the NASD (Series 7)
  • Maintained all relevant compliance records in accordance with FINRA/NASD requirements.
  • Obtained Series 7 NASD license on first attempt.
  • Maintain required NASD regulatory files and compliance manuals.
  • Traded stocks on the NYSE and NASDAQ indexes.

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44. Building Exteriors

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45. CRM

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Here's how CRM is used in Registered Sales Assistant jobs:
  • Assisted in improving efficiency/productivity improvement by testing and providing suggestions for CRM and marketing systems.
  • Update and maintain the CRM database with client information on a daily basis.
  • Updated information in CRM system.
  • Improved office efficiency by implementing paperless document system and customizing Salesforce CRM to automate business processes.
  • Work directly with 7 registered reps Opened client accounts using back office system's; Betalink, Ecustody and CRM.

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46. Morningstar

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Here's how Morningstar is used in Registered Sales Assistant jobs:
  • Researched securities and produced reports using MorningStar.
  • Utilized various research tools including MorningStar.
  • Conducted security research; inspected and collected data from Morningstar and internet resources.
  • Prepared monthly, quarterly, and annual performance summaries for clients utilizing Morningstar and Excel Software systems.
  • Build Proposals and hypothetical illustrations using Morningstar and Moneyguide Pro.
  • Create portfolio, hypotheticals on Morningstar, making it easy for the client to understand the value of the proposed portfolio.
  • Input data into Morningstar's Principia Pro, db CAMS+ and Excel spreadsheets.
  • Researched Mutual Funds, Equities, ETFs, via Morningstar database.
  • Research mutual funds using Morningstar Work Station and E-valuator, helping advisors with allocation analysis.

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47. Bloomberg

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Here's how Bloomberg is used in Registered Sales Assistant jobs:
  • Serviced clients with various account and securities inquiries via ADP, Bloomberg monitor, and through interaction with traders and liaisons.
  • Created spreadsheets using Bloomberg for fixed income securities.
  • Confirmed client trades, entered trade tickets in Bloomberg, handled corporate, government, and mortgage security settlements.
  • Print publications include Wall Street Journal, New York Times, Newsday and Bloomberg Magazine.
  • Utilize Bloomberg to execute bond trades, research and run analytics.

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48. Institutional Clients

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Here's how Institutional Clients is used in Registered Sales Assistant jobs:
  • Communicated daily with registered representatives, retail and institutional clients for both trading purposes and market concerns.
  • Traded securities for individual and institutional clients partnering with various Brokers in the firm.
  • Provided account services for large retail and institutional clients.
  • Planned seminars for Institutional clients.
  • Assisted a team of Financial Advisors providing quality customer service to individual and institutional clients.

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49. Operational Support

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Here's how Operational Support is used in Registered Sales Assistant jobs:
  • Performed administrative and operational support functions necessary to complete all customer transactions.
  • Worked as member of investment team, provided administrative and operational support to the lead broker.
  • Provided customer service, operational support, computer skills, trade order management.
  • Provided financial advisor with all back-office operational support and was first point of contact with all clients.
  • Provided administrative and operational support for 5 Senior Vice Presidents and 5 Investment Counselors (i.e.

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50. Company Policies

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Here's how Company Policies is used in Registered Sales Assistant jobs:
  • Verify all transactions met company policies and follow approved guidelines.
  • Followed food safety procedures according to company policies, health& sanitation regulations.

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Registered Sales Assistant Jobs

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20 Most Common Skills For A Registered Sales Assistant

Customer Service

17.4%

Compliance Files

12.3%

Client Relationships

9.5%

Financial Advisor

7.3%

New Accounts

7.2%

Client Service

4.8%

Income Securities

4.8%

Equity

4.2%

Financial Consultant

3.8%

Drive-Through Window

3.6%

High NET

3.3%

Sales Assistants

2.9%

Sales Support

2.7%

Client Meetings

2.5%

Financial Plans

2.5%

Customer Accounts

2.4%

High Standards

2.3%

Cost Basis Information

2.3%

Client Contact

2.2%

Client Inquiries

2.0%
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Typical Skill-Sets Required For A Registered Sales Assistant

Rank Skill
1 Customer Service 12.3%
2 Compliance Files 8.7%
3 Client Relationships 6.7%
4 Financial Advisor 5.2%
5 New Accounts 5.1%
6 Client Service 3.4%
7 Income Securities 3.4%
8 Equity 3.0%
9 Financial Consultant 2.7%
10 Drive-Through Window 2.5%
11 High NET 2.3%
12 Sales Assistants 2.1%
13 Sales Support 1.9%
14 Client Meetings 1.8%
15 Financial Plans 1.8%
16 Customer Accounts 1.7%
17 High Standards 1.6%
18 Cost Basis Information 1.6%
19 Client Contact 1.6%
20 Client Inquiries 1.4%
21 Heartfelt Hospitality 1.4%
22 Finra 1.4%
23 Account Maintenance 1.4%
24 Food Preparation 1.3%
25 Phone Calls 1.3%
26 Wealth Management 1.2%
27 Account Transfers 1.2%
28 Client Files 1.2%
29 Account Opening 1.2%
30 Monetary Transactions 1.1%
31 Trade Orders 1.1%
32 Office Supplies 1.1%
33 Expense Reports 1.1%
34 Travel Arrangements 1.0%
35 Brokerage Accounts 1.0%
36 Safe Environment 0.9%
37 New Clients 0.8%
38 Life Insurance 0.8%
39 Sales Floor 0.8%
40 High Volume 0.8%
41 Investment Strategies 0.8%
42 Acat 0.7%
43 Nasd 0.7%
44 Building Exteriors 0.7%
45 CRM 0.7%
46 Morningstar 0.7%
47 Bloomberg 0.7%
48 Institutional Clients 0.7%
49 Operational Support 0.7%
50 Company Policies 0.7%
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7,278 Registered Sales Assistant Jobs

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