Registered Sales Operations Specialist
Job Description
- 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 communicates with the back-office personnel of the 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 and 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
- Responds in a timely manner to Municipal Securities Rulemaking Board (MSRB) and Trade Reporting and Compliance Engine (TRACE) violation inquires
- Enters bond portfolios into proprietary system as requested by the teams supported
- Maintain databases and create reports using various programs as required
- Processes and follows up on client documentation for proper maintenance of accounts
- Prepares letters, forms, reports, and spreadsheets to assist with servicing existing clients and prospecting for new clients
- Ensures required client paperwork is current with firm and industry requirements, rules, and regulations
- General administrative support, taking small trade orders, completing expense reports. Cross trains, interacts with, and provides 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, Power Point), Internet and contact management systems
- Must have excellent organizational and communication skills and have the ability to work on a team and perform independent
- 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 the accuracy of reports, correspondence, and databases
- General mathematics to sufficiently 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, 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 differentiates us from the competition by adding real value to your financial services business.
The firm offers access to alternatives, exchange-traded funds, the fixed income markets, managed accounts, mutual funds, structured products, and unit investment trusts. AAM is a part of SLC Management, the institutional alternatives and traditional asset management business of Sun Life. AAM is a SEC registered investment advisor and member FINRA/SIPC. Registration does not imply a certain level of skill or training.
As of September 30, 2025, the brokerage and advised business at AAM represents approximately $12.2 billion in assets. (Assets under supervision represent $6.5 billion in UIT assets. The firm has $3.6 billion in assets under administration that represents the non-proprietary assets for which AAM provides various levels of service, but not investment management. The firm's $2.1 billion in assets under management represents AAM's proprietary separately managed account, mutual fund and ETF assets.
AAM is a broker/dealer, member FINRA/SIPC and SEC registered investment advisor. For more information, visit www.aamlive.com.
Advisors Asset Management is an Equal Opportunity Employer and a participant in E-Verify.