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

• 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

Success Metrics

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

12 Months

• 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

Required Experience & Qualifications

• 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

Licensing / Registration Requirements

• 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

Reporting Structure

• Reports directly to Financial Planners / Registered Representatives
• Collaborates closely with broker-dealer operations, supervision, and compliance teams