Executive Assistant / Registered Sales Assistant

Vista Wealth Solutions•Allentown, PA

About The Position

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

Requirements

2+ years of experience in a broker-dealer, wealth management, or financial services support role
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
Unlicensed candidates must be willing to obtain required registration if the role evolves into a Registered Sales Assistant position

Nice To Haves

Prior experience as an Administrative Assistant, Sales Assistant, or Client Service Associate preferred
Bachelor’s degree preferred (or equivalent industry experience)
FINRA registration preferred (Series 7 and/or Series 63/65/66 a plus)

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

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