Registered Sales Operations Specialist
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Job Location:
Melville, NY - USA
Monthly Salary:
$ 80000 - 90000
Posted on:
17 days ago
Vacancies:
1 Vacancy
Job Summary
Registered Sales Operations Specialist
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.
Locations Available: Melville NY; Boerne TX; Boca Raton FL
Compensation: $80000-$90000
ESSENTIAL 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 AAMs 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 AAMs 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
QUALIFICATIONS:
- 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
EDUCATION and/or EXPERIENCE:
- 3-5 years of experience in the financial services industry
- Required Education: Bachelors degree preferred
- Required Certifications: FINRA SIE & Series 7
- Structured product support experience a plus
Established in 1979 AAM has become a highly respected financial force providing complete portfolio solutions tailored to the individual needs of financial professionals. Our results-oriented advisor-centric service model and industry experience differentiates us from the competition by adding real value to your financial services business.
For over 45 years AAM has been a trusted resource for financial advisors and broker/dealers. The firm offers access to alternatives exchange-traded funds the fixed income markets managed accounts mutual funds structured products and unit investment trusts. AAM is a part of SLC Management the institutional alternatives and traditional asset management business of Sun Life. AAM is a SEC registered investment advisor and member FINRA/SIPC.
As ofSeptember 30 2025 the brokerage and advised business at AAM represents approximately$12.2 billion in assets. (Assets under supervision represent$6.5 billionin UIT assets. The firm has$3.6 billionin assets under administration that represents the non-proprietary assets for which AAM provides various levels of service but not investment management. The firms$2.1 billionin assets under management represents AAMs proprietary separately managed account mutual fund and ETF assets.
AAM is a broker/dealer member FINRA/SIPC and SEC registered investment advisor. For more information .
Advisors Asset Management is an Equal Opportunity Employer and a participant in E-Verify.
Required Experience:
IC
Key Skills
- Financial Services
- Information Technology
- Cost Control
- Corporate Risk Management
- Law
About Company
For 40 years Advisors Asset Management has been a trusted resource for financial advisors. Advisors Asset Management offers portfolio review, research and analytics, and ongoing support and market commentary. Connect with an AAM solutions expert to learn about our trading and portfol ... View more
