FREE ACCESS
5,000–10,000 jobs/day
See all jobs on Scoutfield
Search thousands of fresh jobs every day.
Discover
- Fresh listings
- Fast filters
- No subscription required
Create a free account and start exploring right away.
Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in client servicing and financial planning within the securities industry, with a strong focus on effective communication, time management, and operational efficiency. Proficient in managing client interactions and transactions while ensuring compliance with regulatory standards.
Highest-signal resume keywords
FINRA SIE LicenseFINRA Series 7 LicenseFINRA Series 66 LicenseSecurities Market KnowledgeSales Assistant Experience
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Client ServicingFinancial PlanningInvestment ResearchOrder ProcessingData Entry in SalesforceRisk MitigationAccount DocumentationOperational Requests ProcessingSecurities TransactionsAnnuity Product Knowledge
Soft Skills
Effective CommunicationTime ManagementProfessional Client InteractionSelf-Directed WorkTelephone Skills
Tools & Technologies
Microsoft OfficeSalesforce
Certifications & Qualifications
Bachelor's DegreeEquivalent Experience and Training
Industry Keywords
Securities IndustryBrokerage AccountsClient AuthenticationMarket QueriesOutbound Sales Calls
About the role
Key responsibilities & impact- Assist Financial Advisors with client servicing, financial plans, investment research, client trades and transactions
- Receive and place orders as directed and respond to market, trading and order-related queries
- Process corporate actions including tender offers, optional dividends, warrants and rights exercises
- Schedule and confirm client appointments, enter data in Salesforce, create meeting agendas and summaries, coordinate marketing events and perform administrative tasks
- Manage the Financial Advisor's calendar to maximize appointment productivity
- Contact potential investment clients using internal and bank leads to maximize sales opportunities
- Provide operational guidance on systems navigation and document fulfillment
- Prepare, obtain signatures for, submit and follow up on new account documentation
- Mitigate risk through client authentication and callbacks for high-risk transactions
- Maintain a professional environment and positive client impression
- Submit and process operational requests including distributions, check deposits, journals, client and account updates and ACAT initiation
- Coordinate with Financial Advisors to review and address reports concerning insufficient funds and unmet RMDs
- Assist with physical branch needs, including opening, closing and maintenance or service requests
Requirements
What you’ll need- Bachelor's degree or equivalent experience and related training
- Experience in the securities industry and/or a sales assistant role
- Knowledge of securities markets and brokerage accounts
- Knowledge of the features and attributes of annuity products
- FINRA SIE, FINRA Series 7 and Series 66 licenses; partially registered candidates may obtain additional licenses during employment
- Exceptional telephone skills and ability to interact appropriately with clients regarding securities transactions and brokerage accounts
- Effective time management skills
- Ability to communicate effectively and professionally with clients, managers and teammates
- Ability to evaluate, assimilate and use detailed and complex written and verbal technical information
- Ability to work independently in a self-directed fashion
- Proficiency in basic computer applications, including Microsoft Office
- Preferred: three years of experience in the securities industry
- Preferred: previous sales and/or banking experience
- Preferred: bachelor's degree in business, accounting, finance, banking or equivalent education and related training
- Preferred: experience in a call center or brokerage office environment, preferably outbound sales calls
Benefits
Comp & perks- Medical insurance
- Dental insurance
- Vision insurance
- Life insurance
- Disability insurance
- Accidental death and dismemberment coverage
- Tax-preferred savings accounts
- 401(k) plan
- At least 10 days of vacation during the first year, prorated as applicable
- 10 sick days, prorated as applicable
- Paid holidays
- Defined benefit pension plan (depending on position and division)
- Restricted stock units (depending on position and division)
- Deferred compensation plan (depending on position and division)