Registered Sales Assistant Resume Samples

The main duty of a Registered Sales Assistant is to render support or assistance to the customers of the company with their investment decisions. While the nature of the job may vary based on the type and scope of the organization, the following duties listed on the Registered Sales Assistant Resume are universally common and core – providing support to brokers; performing paperwork, offering customer service, solving account problems, conducting research, and coordinating presentations.

Even while the duties can vary significantly, the needed skills are universally common and include the following – selling abilities, strong negotiation skills, persuasion skills, researching abilities, investment expertise, the ability to connect well with a variety of people coming from varying backgrounds and computer proficiency. A degree is not mandatory; however, successful resumes denote training in finance and relevant work experience.

 

Registered Sales Assistant Resume example

Registered Sales Assistant Resume

Objective : Retired from the Investment Industry. Looking to join an organization that could benefit from 24 years of Investment, Banking, Trust and Insurance experience. PAST ACCOMPLISHMENTS Series 7- (General Securities Representative License) Solicitation and Sales of Equities, Debt, Options and Derivatives which includes stocks, bonds and mutual funds as well.

Skills : Administrative Support, Good Team Work.

Description :

    1. Assistanted to the Chief Investment Officer.
    2. Handled over 150 clients with their service needs, monetary transactions and appointments.
    3. Processed over $1 million dollars per week in check and wire requests.
    4. Processed new account paperwork. Opened new accounts.
    5. Serviced annuity contracts.
    6. Answered client calls and requests.
Years of Experience
Experience
2-5 Years
Experience Level
Level
Executive
Education
Education
B.S. In Economics


Sr. Registered Sales Assistant Resume

Summary : Highly motivated, results-oriented professional with over 25 years of proven visionary leadership, expertise and distinguished performance combined with extensive experience in developing, implementing and managing a variety of projects. Driver and catalyst for change, combined with tactical execution of strategic initiatives.

Skills : Patient Carr, Child Care Support, Interactive Group And Individual Child Activity.

Description :

    1. Communicated with clients and other individuals to answer questions, disseminate or explain information and address all other issues.
    2. Answered telephones, directed calls and take messages.
    3. Compiled, copied, sorted and filed records of client activity.
    4. Maintained appointment calendar, schedule client appointments, seminars and trainings.
    5. Opened new accounts and maintain updated client information.
    6. Maintained filing system as required by financial advisor.
    7. Collected and prepared data to send to clients.
Years of Experience
Experience
10+ Years
Experience Level
Level
Senior
Education
Education
International Business Finance


Jr. Registered Sales Assistant Resume

Objective : A position within the financial industry which offers a high level of challenge, responsibility, and the opportunity for career growth. Ideal position would fully utilize many years of experience.

Skills : Registered Client Associate, Good Team Work.

Description :

    1. Assistanted to a Senior Vice President and First Vice President.
    2. Assisted Financial Consultant in reviewing client accounts.
    3. Communicated regularly with clients providing full customer service and follow-up.
    4. Interacted with operation staff to address issues and problems.
    5. Composed and type correspondence.
    6. Maintained client files.
    7. Obtained investment and product information for Financial Consultants.
Years of Experience
Experience
2-5 Years
Experience Level
Level
Junior
Education
Education
International Business Finance

Registered Sales Assistant III Resume

Summary : Consistent record of exceeded expectations and result achievement through self-motivation and laser focus on success.

Skills : Microsoft Office, Adobe, Customer Relationship Management, Administrative Support, Receptionist.

Description :

    1. Provided sales and administrative support to the President/Financial Advisor.
    2. Fielded all client calls and inquiries, resolved account problems, and provided customer support as needed.
    3. Assisted in obtaining new business by coordinating educational seminars, scheduling client meetings, and following up with perspective clients.
    4. Opened new accounts and processed all required account documentation in compliance with FINRA/SEC regulations.
    5. Updated and maintained existing client accounts in NetX 360 which included the wiring of funds, check distributions, ACH instructions, generating trade confirms, monthly statements, and retirement and tax documents.
    6. Scanned all office correspondence and client documentation into Docupace.
    7. Processed all direct business paperwork in accordance with home office requirements.
Years of Experience
Experience
7-10 Years
Experience Level
Level
Management
Education
Education
High School Regents Diploma

Registered Sales Assistant II Resume

Objective : Over 18 years of experience in the Financial Services Industry in sales, back office operations and compliance. Sole owner of Quality Cleaning Service.

Skills : Quickbooks Pro, Microsoft Office, Microsoft Excel, Bookkeeping, Microsoft Publisher.

Description :

    1. Processed client requests for checks withdrawals, funds wires and IRA distribution requests.
    2. Provided performance reports for client meetings and asset allocation planning.
    3. Processed travel and expense reports for reimbursement.
    4. Answered switchboard and assist clients with inquiries.
    5. Entered transactions in trading system for client accounts when needed.
    6. Helped troubleshoot client issues and concerns and resolve in a timely manner.
    7. Filled in for other assistants when needed.
Years of Experience
Experience
2-5 Years
Experience Level
Level
Executive
Education
Education
International Business Finance

Registered Sales Assistant I Resume

Objective : Include clerical, sales and marketing and active listening as well as excellent communication and time management skills. Handles tasks with accuracy and efficiency.

Skills : Microsoft Office, SAP, Budget Management, Finance, Spanish, Office Management, Procurement, Contract Management.

Description :

    1. Corresponded with customers and confer with coworkers to answer inquiries, discuss market fluctuations, or resolve account problems.
    2. Recorded and documented security transactions, such as purchases, sales, conversions, redemptions, and payments, using computers, accounting ledgers, or certificate records.
    3. Scheduled and coordinated transfer and delivery of security certificates between companies, departments, and customers.
    4. Prepared forms, such as receipts, withdrawal orders, transmittal papers, or transfer confirmations, based on transaction requests from stockholders.
    5. Prepared reports summarizing daily transactions and earnings for individual customer accounts.
    6. Licensed General Security Series 7, Licensed State Registration Series 63 Served as Sales Assistant to 3 Brokers Prepared all account documents .
    7. Passed the Series 7 and Series 63 exams.
Years of Experience
Experience
2-5 Years
Experience Level
Level
Executive
Education
Education
Business Administration

Associate/Registered Sales Assistant Resume

Summary : Team player with success in daily operational management of high net worth clients. Background includes operational support of a $70 million client base, including quarterly reports, stock and mutual fund trading, portfolio research and daily service requests to satisfy each client's needs. Detail oriented and effective communicator who can apply relevant industry knowledge to day to day servicing of client's accounts and investment portfolios.

Skills : Certified Crucial Conversations Trainer, Articulate Studio & Storyline 1&2.

Description :

    1. Maintain updated files for all new employees, terminations and plan conversions.
    2. Provided leadership when team was in process of growing and adding additional members.
    3. Worked as liaison between FA team and management to ensure continuous service and problem solving for client issues.
    4. Relied upon to provide marketing and support for Portfolio Managers with over $2 Billion in assets.
    5. Assisted Financial Advisors with management of accounts including: trading execution and processing, processing insurance products, maintaining client .
    6. Allowed the opportunity to increase sales and acquire new business.
    7. Used Customer Service, Adminstrative Support, Typing, Portfolio Maintenance, PowerPoint presentations, NetX 360.
Years of Experience
Experience
10+ Years
Experience Level
Level
Senior
Education
Education
International Business Finance

Registered Sales Assistant/Manager Resume

Objective : Highly organized, with a track record of achieving goals and excellent people skills. Fluent in English and Spanish. Proficient in Outlook Calendaring, Word, and Excel.

Skills : Microsoft Office Products, Excel, MS Word.

Description :

    1. Provides sales practice as well as overall administrative and operational client service support to assist the business activities of the Financial Advisor(s).
    2. Provides assistance to the Financial Advisor by furnishing account information and quotes, establishing new accounts, and processing deliveries and/or payments.
    3. Performs various administrative functions for the Financial Advisor(s) and/or Branch Manager including, but not limited to, typing of letters, forms and reports from rough draft, as well as preparing and/or originating correspondence for the Financial Advisor, which may include marketing campaigns.
    4. Handles telephone calls and other inquiries, for research reports as well as resolving account problems.
    5. Establishes and maintains files to meet regulatory requirements, creates and produces reports and databases while establishing and maintaining files and record keeping necessary to support sales efforts.
    6. Helpes grow each advisor's book of business, along with providing great customer service.
    7. Uses Extensive Problem Solving and client service, alongwith administrative skills that included but was not limited to, processing of all client requests via data entry.
Years of Experience
Experience
2-5 Years
Experience Level
Level
Executive
Education
Education
Political Science

Registered Sales Assistant/Director Resume

Objective : Sales Assistant to three financial advisors. Process client requests for checks withdrawals, funds wires and IRA distribution requests, Provide performance reports for client meetings and asset allocation planning.

Skills : HTML, CSS.

Description :

    1. Processed travel and expense reports for reimbursement.
    2. Answered switchboard and assist clients with inquiries.
    3. Enter transactions in trading system for client accounts when needed.
    4. Helped troubleshoot client issues and concerns and resolve in a timely manner.
    5. Filled in for other assistants when needed.
    6. Oversaw client service needs and business operations including technical research, portfolio appraisals preparation, client communications, marketing,.
    7. Promoted to train new administrative staff on industry specific topics, process and procedures; trained all branch associates on firm technology.
Years of Experience
Experience
2-5 Years
Experience Level
Level
Executive
Education
Education
International Business Finance

Registered Sales Assistant Resume

Headline : Highly motivated, creative and resourceful. Fifteen years experience in administrative support and customer service. Fluent Spanish. Conversational Portuguese. Especially skillful in relationship building and problem solving.

Skills : FINRA Series 24, 7, 63 & MN Life, Health, Variable Insurance.

Description :

    1. Opened new brokerage accounts and transfer securities from contra-firms.
    2. Moved funds in brokerage and depository accounts.
    3. Deposited stock certificates and funds into brokerage accounts.
    4. Sent required trade tickets and correspondence to the OSJ.
    5. Performed account maintenance and updates.
    6. Set up systematic withdrawals and periodic investments.
    7. Initiated IRA distributions and withdrawals.
Years of Experience
Experience
5-7 Years
Experience Level
Level
Executive
Education
Education
Certification