Sales 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

SUMMARY

We are seeking a detail-oriented, client-focused Registered Sales Assistant to support our financial advisors in delivering exceptional service to clients while maintaining regulatory compliance and operational excellence. This role combines administrative support, client relationship management, and licensed securities activities. The ideal candidate is highly organized, professional, and committed to providing an outstanding client experience.

ESSENTIAL DUTIES AND RESPONSIBILITIES

• Serve as a primary point of contact for clients, responding promptly and professionally to inquiries
• Support financial advisors with day-to-day operations, scheduling, client communications, and account servicing
• Prepare and process new account paperwork, transfers, account maintenance requests, and other documentation
• Execute securities transactions as permitted under FINRA licensing and firm policies.
• Monitor account activity and assist with cash management, distributions, and money movement requests
• Coordinate client meetings, prepare presentation materials, and maintain accurate meeting notes
• Maintain client records in accordance with firm, regulatory, and privacy requirements
• Assist with marketing initiatives, seminar coordination, and client appreciation events
• Work closely with operations, compliance, and custodians to resolve account issues efficiently
• Ensure timely completion of compliance requirements and maintain a thorough understanding of industry regulations
• Support business development efforts through exceptional client service and proactive follow-up
• Other duties as assigned

REQUIRED EDUCATION AND EXPERIENCE

• Active FINRA Series 7 registration
• Active Series 63 or Series 66 registration
• Ability to obtain or maintain any required North Dakota insurance licensing if applicable
• Minimum of 2 years of experience in a financial advisory, brokerage, banking, or wealth management environment
• Strong knowledge of brokerage operations, securities regulations, and client service practices
• Excellent verbal and written communication skills
• Strong organizational skills with exceptional attention to detail
• Ability to manage multiple priorities in a fast-paced environment
• High level of professionalism, discretion, and integrity

PREFERRED QUALIFICATIONS

• Experience supporting one or more financial advisors
• Familiarity with brokerage and CRM platforms such as Fidelity, Wealthscape, and Salesforce

COMPETENCIES

• Client Relationship Management
• Financial Services Operations
• Securities Processing
• Regulatory Compliance
• Problem Solving
• Time Management
• Team Collaboration
• Written and Verbal Communication
• Microsoft Office Suite proficiency

SUPERVISORY RESPONSIBILITY

This position has no supervisory responsibilities.

JOB EXPECTATIONS

This is a full-time position in office five days a week.

Days of work are Monday through Friday during standard business hours.

Regular and reliable attendance required.

BENEFITS

• We offer a comprehensive benefits package for employees and their families including medical and dental plan; 401k plan including company matching; firm funded life and disability insurance.

COMPENSATION AND LOCATION

• Area/Location Specific: Fargo, ND
• Approximate Compensation Range for this Role: $31.25 - $36.06 (~$65,000 - $75,000 annualized)
• Our compensation ranges are determined by role, level, and location.
• The range displayed on this job posting reflects the minimum and maximum target for new hire salaries for the position across all US locations.
• Within the range, individual pay is determined by work location and additional factors, including job-related skills, experience, and relevant education or training.

Make your next move an expert one and join us as we lead the industry into the future.

Colliers provides equal employment opportunity to all persons.

No employee or applicant for employment will be discriminated against because of race, creed, origin, marital status, sexual orientation, age, otherwise qualified disabled or veteran status or any other characteristic protected by law.

If you are a qualified applicant who requires reasonable accommodation to complete a job application, pre-employment testing, a job interview or to otherwise participate in the hiring process, please contact [e-mail]

We are enterprising. Our expert advice to property occupiers, owners and investors leads the industry into the future. We invest in relationships to create enduring value. What sets us apart is not what we do, but how we do it. Our people are passionate, take personal responsibility and always do what’s right for our clients, people and communities. We attract and develop industry leaders, empowering them to think and act differently to drive exceptional results. What’s more, our global reach maximizes the potential of property, wherever our clients do business. At Colliers, we accelerate success.