Registered Sales Assistant (Finance)
Registered Sales Assistant
Location US-FL-Miami
ID 2025-2314
Category Sales
Position Classification Hybrid
Overview
The Registered Sales Assistant at Ocean Financial Services provides crucial support to Financial Consultants, enabling them to focus on client relationships and business development.
Responsibilities
Assists with managing client portfolios, completion of account documentation, performs account maintenance, monitors account activity, prepares materials for meetings, and ensures all client-related paperwork is completed accurately and efficiently. Provides support with preparing trade tickets and ensuring accurate order entry, following up on trade confirmations and settlements and assisting with research and gathering market data. Assists with marketing campaigns and events and prepares marketing materials and presentations. Ensures all activities comply with FINRA regulations, including preparation and submission of client forms, account opening, and other necessary documentation. This position works with confidential and sensitive documentation regarding customer investment accounts. This role ensures smooth and positive client experience while adhering to all regulatory requirements and policies.
This position is for Ocean Financial Services (OFS), a subsidiary of Ocean Bank.
Qualifications
- Bachelor's Degree in Business Administration (Finance preferred) with two (2) years of administrative or customer service experience directly related to servicing customers in financial services or brokerage firm environment or an Associate's Degree with a minimum of four (4) years of administrative or customer service experience directly related to servicing customers in financial services or brokerage firm environment; or equivalent combination of education and experience.
- Must have a solid understanding of the securities and banking industry.
- Must have knowledge of investment products, financial markets and regulatory guidelines.
- Must have excellent communication, interpersonal, and strong organizational skills. Portuguese is highly preferred.
- Must have a strong attention to detail and accuracy.
- Must be proficient in Microsoft Office Suite (Word, Excel, PowerPoint) and CRM systems.
- Must have ability to multitask and prioritize tasks effectively.
- Must have ability to work independently and as part of a team.
- Understanding of banking laws and applicable compliance regulations required.
- Knowledge of the securities industry and financial markets is a plus.
- Strong ethical conduct and commitment to client confidentiality.
Job Posting Locations
In this role you can work hybrid from Miami, Florida, United States
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