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Form of workRegistered 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: Boca Raton, FL
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 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, answering phones, taking small trade orders, completing expense reports, making travel arrangements, and preparing marketing materials for distribution. Cross trains, interacts with, and provides backup support to other Operations personnel and Registered Sales Assistants
- 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: Bachelor’s 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 40 years, AAM has been a trusted resource for financial professionals and broker/dealers. We offer access to UITs, open- and closed-end mutual funds, separately managed accounts (SMAs), structured products and the fixed income markets, as well as portfolio analytics and now exchange-traded funds (ETFs). Advisors Asset Management, Inc. (AAM) is a SEC registered investment advisor and member FINRA/SIPC.
As of December 31, 2023, the brokerage and advised business at AAM represents approximately $41.4 billion in assets. (Assets under supervision represent $5.4 billion in UIT assets. The firm has $32.1 billion in assets under administration that represents the non-proprietary assets for which AAM provides various levels of service, but not management. The firm's $3.9 billion in assets under management represents AAM's 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, visit www.aamlive.com.
Advisors Asset Management is an Equal Opportunity Employer and a participant in E-Verify.
