Registered Investment Assistant

Job Purpose Provides administrative, operational, and compliance support to financial advisors and serves as a key point of contact for client service needs. This role supports the day-to-day management of client accounts, documentation, reporting, and advisor workflow to ensure efficient operations and a high level of service. The position requires strong attention to detail, accuracy, professionalism, and the ability to manage multiple priorities while maintaining compliance with firm standards and applicable SEC and FINRA regulations. Key Responsibilities Client Service Serves as a primary point of contact for routine client inquiries and service requests. Provides timely updates regarding account activity, documentation, and processing status. Escalates complex client matters to the advisor or leadership, as appropriate. Operational Support Prepares and processes new account paperwork, transfers, account updates, and maintenance requests. Utilizes electronic signature and document management platforms to ensure efficient processing and record retention. Tracks outstanding documentation and follows up to ensure timely completion. Advisor & Meeting Support Coordinates advisor calendars and schedules client meetings. Prepares meeting agendas, reports, and client materials in advance of advisor meetings. Assembles documentation needed for advisor review and client discussions. Compliance & Recordkeeping Ensures all client files and account documentation meet firm compliance standards and applicable regulatory requirements. Maintains accurate and current records within the CRM and portfolio management systems. Supports audit preparation and compliance documentation requests. Investment & Reporting Support Assists with investment research and data gathering. Supports portfolio rebalancing activities as directed by the advisor. Generates quarterly performance reports and client review materials. Qualifications Licenses FINRA Series 7 and Series 65 licenses (or equivalent) are required. Skills Demonstrates proficiency in portfolio management software, including systems such as Morningstar. Maintains strong working knowledge of Microsoft Office Suite. Demonstrates strong verbal and written communication skills. Exhibits strong organizational, computer, and time-management skills. Attributes Demonstrates a high level of attention to detail and accuracy. Shows strong follow-through and a sense of ownership. Effectively prioritizes work and manages multiple responsibilities. Exercises professional judgment and problem-solving skills. Maintains a commitment to client service and team collaboration. Education Bachelors degree in Finance, Business, or a related field is preferred. Experience One to three years of financial services industry experience is preferred. Attendance is an essential function of this role. Join our team if you are passionate about providing exceptional client service and supporting the financial planning process with professionalism, accuracy, and care. This role offers the opportunity to become a key member of a collaborative and growing team where your organizational skills, attention to detail, and commitment to service will directly contribute to the client experience and overall success of Lutheran Financial Services.

Pay:

$55,000.00 per year

Benefits:

Retirement plan

Experience:

Industry:

1 year (Preferred)

License/Certification:

FINRA Series 7 and Series 65 License (or Equivalent) (Required)

Work Location:

In person