Also referred to as: Client Service Assistant III - Registered, Registered NASD Sales Assistant III, Retail Sales Associate III - Registered Financial Products
Requirements and Responsibilities

Financial Retail Sales Assistant III - Registered uses customer database to generate additional business opportunities with existing clients. Utilize cross sell, telemarketing, and/or internal referrals for additional product offerings to expand the portfolio and the client's relationship. Being a Financial Retail Sales Assistant III - Registered opens new accounts, processes orders for existing clients, and responds to questions and fulfills customer requests regarding the organization's products and services. May execute trades as required. Additionally, Financial Retail Sales Assistant III - Registered may handle larger or more complex clients/accounts. Has a broad and in-depth knowledge and understanding of the firm's offerings. May require a bachelor's degree. Typically reports to a supervisor or manager. Requires NASD series 7 and 63 licenses. The Financial Retail Sales Assistant III - Registered contributes to moderately complex aspects of a project. Work is generally independent and collaborative in nature. To be a Financial Retail Sales Assistant III - Registered typically requires 4 to 7 years of related experience.

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