Registered Sales Assistant (Frisco)

With offices throughout the Southwest, Private Client Group serves a broad range of individual and institutional investors through offering a full range of investment products and services, including common and preferred stock, municipal and corporate bonds and mutual funds. Located in our Frisco branch, the Registered Sales Assistant will work for one of Southwest's top-producing broker's. This position will assist in servicing the large client base that is continually growing.

 

 

Responsibilities

 

Job functions include, but are not limited to:
Communicating with clients on a daily basis regarding stock quotes, buy vs. sales scenarios, and other related matters.
Maintaining customer account information including updating files and records and handling written correspondence. Working with Southwest back office systems including CSS to enter trades and other account information.
Facilitating communications within branch office. Dealing with wholesalers regarding various products they are promoting while building and maintaining rapport.
Assisting with special projects and tasks as assigned.
Handling all client service problems so Registered Representative can know at all times what service problems are being worked on and whether handled to client satisfaction.
Acting as gatekeeper for Registered Representative during prime market time.

 

 

 

Qualifications

 

3-5 years experience in the brokerage/financial services industry as a Sales Assistant preferred.
Series 7 license is REQUIRED.
Detail oriented with excellent organization skills and ability to multi-task.
Proficiency with industry and Microsoft Office software applications required, experience providing PC support to ensure smooth office operations preferred.
The candidate must be comfortable working in a small office with the ability to thrive in an extremely fast-paced environment, while possessing the capability and flexibility to manage change.
Strong client service and relationship building skills.
Knowledge of branch level operations, policies and procedures (i.e. regulations and compliance requirements) strongly preferred.

 

 

**Please email your resume to  njackson@swst.com AND apply online at http://www.swsgroupinc.com/. 

 

***SWS Group, Inc. is an EO employer.