Licensed Client Services Assistant, Wealth Management

Colliers; Fargo (ND); On-site; USD 65,000 - 75,000; Full time

Benefits offered by this job

Medical and dental coverage

401(k) with company match

Life and disability insurance

Job summary

Colliers Fargo seeks a detail‑oriented Registered Sales Assistant to support financial advisors in delivering client‑focused service while maintaining regulatory compliance and operational excellence.

This role combines administrative support, client relationship management, and licensed securities activities. It requires organization, professionalism, and a commitment to an outstanding client experience in a fast‑paced, in‑office environment.

Qualifications

• Active FINRA Series 7 registration required.
• Active Series 63 or 66 registration required.
• Ability to obtain/maintain ND insurance licensing if applicable.
• Minimum 2 years in financial advisory, brokerage, banking, or wealth mgmt.
• Strong knowledge of brokerage operations, securities regulations and client service.

Responsibilities

• Serve as primary contact for clients, responding promptly and professionally.
• Support financial advisors with daily operations, scheduling, client communications and account servicing.
• Prepare and process new account paperwork, transfers, and maintenance requests.
• Execute securities transactions per FINRA licensing and firm policy.
• Monitor account activity and assist with cash management and money movement.
• Coordinate client meetings and prepare presentation materials.
• Maintain client records in line with regulatory and privacy requirements.
• Assist with marketing initiatives and client appreciation events.
• Work with operations, compliance and custodians to resolve issues efficiently.
• Ensure compliance requirements are completed and stay updated on regulations.
• Support business development through exceptional service and follow-up.

Skills

Client relationship management

Regulatory compliance

Problem solving

Time management

Written communication

Verbal communication

Attention to detail

Multi-tasking

Education

FINRA Series 7 registration

FINRA Series 63 or Series 66 registration

North Dakota insurance licensing (as applicable)

Tools

Fidelity

Wealthscape

Salesforce

CRM platforms

Job description

Colliers Fargo seeks a detail‑oriented Registered Sales Assistant to support financial advisors in delivering client‑focused service while maintaining regulatory compliance and operational excellence.

This role combines administrative support, client relationship management, and licensed securities activities. It requires organization, professionalism, and a commitment to an outstanding client experience in a fast‑paced, in‑office environment.