Sales Assistant

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

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; 401(k) plan including company matching; firm‑funded life and disability insurance.

Pursuant to the laws regarding job postings where the position is located, Colliers is disclosing the following information.

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 U.S. locations. Within the range, individual pay is determined by work location and additional factors, including job‑related skills, experience, and relevant education or training.

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].