Licensed Financial Services Assistant

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

Benefits offered by this job

Medical and dental plan

401k with company matching

Life and disability insurance

Job summary

Colliers International in Fargo, ND is seeking a detail-oriented Registered Sales Assistant to support financial advisors with client service, account maintenance, and licensed securities activities. The role emphasizes regulatory compliance, documentation, and proactive client engagement.

Responsibilities include assisting with new accounts, transfers, cash management, and meeting coordination, while ensuring accurate records and adherence to policies.

Qualifications

• Active FINRA Series 7 registration required.
• Active Series 63 or Series 66 registration required.
• Ability to obtain North Dakota insurance licensing if applicable.
• Minimum 2 years in financial advisory, brokerage, banking, or wealth management.
• Strong knowledge of brokerage operations and securities regulations.
• Excellent verbal and written communication; highly organized.

Responsibilities

• Serve as primary contact for clients; respond promptly and professionally.
• Support financial advisors with day-to-day operations and account servicing.
• Prepare and process new account paperwork and transfers.
• Execute securities transactions as permitted under licensing and policy.
• Monitor account activity and assist with cash management and distributions.
• Coordinate client meetings and maintain accurate meeting notes.
• Maintain client records in compliance with regulatory and privacy rules.
• Assist with marketing initiatives and client appreciation events.
• Collaborate with operations, compliance, and custodians to resolve issues.
• Ensure timely completion of compliance requirements and stay updated on regulations.
• Support business development with exceptional client service and follow-up.

Skills

Client Relationship Management

Financial Services Operations

Securities Processing

Regulatory Compliance

Problem Solving

Time Management

Team Collaboration

Written and Verbal Communication

Microsoft Office Suite proficiency

Education

FINRA Series 7 licensed

FINRA Series 63 or 66 licensed

Tools

Fidelity

Wealthscape

Salesforce

Job description

Colliers International in Fargo, ND is seeking a detail-oriented Registered Sales Assistant to support financial advisors with client service, account maintenance, and licensed securities activities. The role emphasizes regulatory compliance, documentation, and proactive client engagement.

Responsibilities include assisting with new accounts, transfers, cash management, and meeting coordination, while ensuring accurate records and adherence to policies.