Registered Sales Operations Specialist

Advisors Asset Management•Boerne, TX

34d•$80,000 - $90,000

About The Position

The Advisors Asset Management Registered Sales Operations Specialist uses advanced skills gained through training and experience to provide pro-active support for our various Financial Advisor teams in an accurate, timely, professional, and knowledgeable manner. The Registered Sales Operations Specialist will have extensive interaction with both internal and external clients to address all inquiries, prepare and distribute paperwork, open new accounts, and respond to account maintenance or service requests.

Requirements

Experience with Microsoft Office Suite (Word, Excel, Outlook, Power Point), Internet and contact management systems
Must have excellent organizational and communication skills and have the ability to work on a team and perform independent
Professional, service-oriented demeanor with pleasant, business-appropriate phone manners
Ability to organize, manage and track multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment
Detail orientation to ensure the accuracy of reports, correspondence, and databases
General mathematics to sufficiently process account and transaction information
3-5 years of experience in the financial services industry
Required Education: Bachelor’s degree preferred
Required Certifications: FINRA SIE & Series 7

Nice To Haves

Structured product support experience, a plus

Responsibilities

Provides general clerical and sales support for one or more registered professional or sales team
Interacts daily on the phone with prospective and existing clients including handling basic inquiries
Opens new accounts, processes orders for existing clients, and answers questions regarding the AAM’s products and services
Research client and security information through the back-office system and communicates with the back-office personnel of the broker dealers, Registered Investment Advisors, and custodial firms to ensure all trades are processed correctly
Reviews and enters trade tickets into proprietary system in a timely manner consistent with contra firm rules and FINRA and NSRB reporting requirements. Processes errors and trade corrections in accordance with AAM’s policies and contra firm operating procedures
Review, research, and correct trade breaks in various fail reports daily
Responds in a timely manner to Municipal Securities Rulemaking Board (MSRB) and Trade Reporting and Compliance Engine (TRACE) violation inquires
Enters bond portfolios into proprietary system as requested by the teams supported
Maintain databases and create reports using various programs as required
Processes and follows up on client documentation for proper maintenance of accounts
Prepares letters, forms, reports, and spreadsheets to assist with servicing existing clients and prospecting for new clients
Ensures required client paperwork is current with firm and industry requirements, rules, and regulations
General administrative support, taking small trade orders, completing expense reports. Cross trains, interacts with, and provides backup support to other operations personnel and Registered Sales Operations Specialists
Perform other job-related duties as assigned