Registered Sales Operations Specialist

Join to apply for the Registered Sales Operations Specialist role at Advisors Asset Management ETFs
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Locations:
Melville, NY;
Boerne, TX;
Boca Raton, FL.

Compensation: $80,000-$90,000.

• 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 communicate with back‑office personnel of 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/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
• Respond to Municipal Securities Rule making Board (MSRB) and Trade Reporting and Compliance Engine (TRACE) violation inquiries in a timely manner
• Enter bond portfolios into proprietary system as requested by the teams supported
• Maintain databases and create reports using various programs as required
• Process and follow up on client documentation for proper maintenance of accounts
• Prepare letters, forms, reports, and spreadsheets to assist with servicing existing clients and prospecting for new clients
• Ensure required client paperwork is current with firm and industry requirements, rules, and regulations
• Provide general administrative support, take small trade orders, complete expense reports; cross‑train, interact with, and provide backup support to other operations personnel and Registered Sales Operations Specialists
• Perform other job‑related duties as assigned

• Experience with Microsoft Office Suite (Word, Excel, Outlook, PowerPoint), Internet, and contact management systems
• Excellent organizational and communication skills; ability to work on a team and independently
• 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 accuracy of reports, correspondence, and databases
• General mathematics sufficient to 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
• Structured product support experience is a plus

With roots dating back to 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 differentiate us from the competition by adding real value to your financial services business.

Advisors Asset Management is an Equal Opportunity Employer and a participant in E‑Verify.