Company Overview
Maxim Group LLC is a leading full-service investment bank, securities and wealth management firm headquartered in mid-town Manhattan and is a registered broker-dealer with the SEC, the Municipal Securities Rulemaking Board (MSRB), FINRA and SIPC. www.finra.org | http://www.maximgrp.com
About the job
About Maxim
We are a leading full-service global investment banking firm headquartered in New York City. We provide a full array of financial services including investment banking; private wealth management; and global institutional equity, fixed income and derivative sales & trading, equity research and prime brokerage services to a diverse range of corporate clients, institutional investors and high net worth individuals.
Role Overview
We are seeking a Sales Assistant to support our retail division. Sales Assistants interact with all areas and departments of the firm as well as our clearing firm Pershing. While experience in the financial services industry is not required, knowledge of the industry is welcomed. Training will be provided as needed. We are looking for someone who is self-motivated and eager to learn. Candidates must be licensed in the financial industry (Series 7, SIE w/Series 7 topper).
**This role is expected to be in office to start with the possibility to be hybrid depending on knowledge and ability.
The expected compensation for this role is: $50,000 – $60,000 plus commission overrides.
Job Responsibilities
The below list is just a summary of the tasks this person will be responsible for and not a comprehensive list.
Administrative
- Handling physical and electronic client correspondence
- Communicating with, supporting, and acting as liaison between the firm’s operations department and the retail salesforce
- Handle Corporate Actions items
Customer Service
- Attend to client needs and concerns
- Collect and disburse funds for clients
- Opening new accounts and processing client documents
Margin and Regulation T
- Review daily reports and communicate with registered reps and sales assistants
- Work closely with Compliance and other departments including Banking, Legal, Operations
Qualifications
- Bachelor’s degree in a relevant field OR 3+ years of commensurate experience
- Current holders of Series 7, SIE w/Series 7 topper
- Excellent communication skills
- Attention to detail is a must in this fast-paced deadline-driven environment
- A team player with a “can do” attitude
- Self-motivated with ability to work independently and multi-task
- Strong Microsoft Office skills with proficiency in Excel and Word.
- Excellent Organizational Skills
Preferred Qualifications
- Experience/knowledge in the financial services industry preferred
- Experience with our clearing firm Pershing STRONGLY preferred
- 5+ years of relevant experience STRONGLY preferred
Why Maxim
Maxim is a fast-growing firm with an eye on expansion. You will get the opportunity to work with great colleagues on innovative teams. You will also have the opportunity to work on projects and initiatives with a diverse set of clients and individuals.
How to Apply:
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