Future Opening: Registered Client Service Associate

Capitol

**Benefits:** * 401(k) * Dental insurance * Employee discounts * Health insurance * Paid time off * Vision insurance **Position Overview** The Registered Client Service Associate supports Financial Advisors in serving individuals and families with their financial planning and investment needs. This hybrid role combines high-quality client service and account administration with progressive training in financial planning, investment research, portfolio monitoring, and client relationship development. The successful candidate will help deliver an organized, responsive, and professional client experience while developing the knowledge and skills needed to grow into a Financial Advisor role. The position is designed for an early-career professional who is detail-oriented, curious about personal finance and investing, comfortable working with clients, and motivated to learn. Responsibilities will expand as the individual demonstrates competence, completes required training, and obtains applicable licenses. **Key Responsibilities** 1. Client Service and Relationship Support * Provide professional, responsive telephone and email support to clients, prospects, and Financial Advisors. * Welcome clients and visitors, help create a positive office experience, and maintain professional relationships. * Document meaningful client communications, follow-up items, and service activity in the firm's CRM system. * Respond to routine account questions within the scope of the role and promptly involve the Financial Advisor when advice, judgment, or escalation is needed. * Coordinate client review meetings, prepare agendas and meeting materials, track action items, and support timely follow-up. * Participate in client meetings as appropriate, initially as an observer or note-taker and progressively with greater responsibility. * Assist with client communications, educational materials, appreciation activities, seminars, marketing campaigns, and client events. 2. Account Administration and Operations * Coordinate account opening and maintenance, including gathering client information, preparing electronic paperwork, obtaining signatures, and tracking outstanding documentation. * Assist with transfers of assets, money movement, check requests, address changes, beneficiary updates, and other routine account servicing. * Receive, scan, route, and process client documents and checks in accordance with firm procedures. * Monitor account activity and transaction status for accuracy, settlement, fees, and outstanding items; bring discrepancies or unusual activity to the appropriate person's attention. * Maintain complete, accurate, and confidential electronic client files and follow applicable firm, custodian, compliance, and regulatory procedures. * Research and help resolve account-service issues, keeping clients and Financial Advisors informed of progress and outcomes. * Provide general office and team support, including correspondence, mail, records, supplies, and other operational projects. 3. Financial Planning Support * Help gather, organize, and update client information relevant to financial plans, including income, expenses, assets, liabilities, retirement goals, insurance, and estate-planning considerations. * Enter and maintain client data in financial planning software and assist with preparing projections, reports, and planning summaries for Advisor review. * Help prepare for planning discussions involving retirement readiness, cash flow, education funding, tax-aware strategies, charitable giving, and legacy goals. * Track planning recommendations and follow-up tasks, helping ensure that agreed-upon next steps are completed. * Build working knowledge of common account types, retirement plans, investment products, financial planning concepts, and the client planning process. 4. Investment and Portfolio Support * Develop a foundational understanding of investment principles, asset allocation, diversification, risk tolerance, time horizon, and portfolio construction. * Assist with collecting investment information, preparing portfolio reports, reviewing account activity, and organizing materials for portfolio reviews. * Conduct preliminary research on investments, funds, market developments, and economic topics as directed by a Financial Advisor. * Help compare investment expenses, performance, risk characteristics, and portfolio exposures using approved tools and resources. * Assist with documenting client objectives, investment time horizons, liquidity needs, and other information relevant to suitability and investment policy discussions. * Prepare research and analysis for Advisor review; do not independently make recommendations, exercise discretion, or provide investment advice unless appropriately licensed, authorized, and supervised. 5. Advisor Development and Professional Growth * Work alongside experienced Financial Advisors to learn how to prepare for client meetings, identify planning needs, explain financial concepts, and maintain strong client relationships. * Gradually take ownership of defined client-service relationships and planning follow-ups, with responsibilities increasing as skills and qualifications develop. * Participate in team discussions, training, case preparation, and continuing education. * Pursue applicable securities and advisory licenses within the timeframe established by the firm, where required for the role. * Demonstrate initiative by identifying service improvements, anticipating client needs, and following through reliably on commitments. **Qualifications and Requirements** Required * Genuine interest in helping individuals and families make progress toward their financial goals. * Strong written, verbal, and interpersonal communication skills, with a professional and service-oriented manner. * Excellent organization, attention to detail, follow-through, and time-management skills. * Integrity, discretion, and sound judgment when handling confidential client information and financial transactions. * Ability to solve problems, learn new systems, manage competing priorities, and work effectively as part of a team. * Comfort with common office technology and Microsoft Outlook, Word, and Excel; willingness to learn CRM, financial planning, and investment platforms. * Associate degree, relevant postsecondary education, or equivalent combination of education and experience. * Ability to meet firm background-check and employment requirements and to work in the United States without sponsorship. Preferred * Bachelor's degree in finance, economics, business, accounting, or a related field. * Internship or experience in financial services, client service, banking, investments, or a related field. * SIE, Series 7, Series 66, or other relevant licenses---or the ability and willingness to obtain required licenses within the firm's target timeframe. * Familiarity with financial planning software, CRM systems, custodial platforms, portfolio reporting tools, or investment research resources. * Basic understanding of investments, retirement accounts, financial markets, and personal financial planning. * Notary commission, where useful to the firm's operations. **Core Competencies** Client-first mindset • Clear communication • Accuracy and attention to detail • Confidentiality and integrity • Teamwork and collaboration • Analytical curiosity • Problem-solving • Initiative and accountability • Adaptability • Commitment to learning **Role Boundaries and Success Measures** This is a developmental position. The employee will perform work within the scope of their training, licensing, firm authorization, and applicable regulations. Investment recommendations, securities transactions, and other regulated activities must be handled only by appropriately licensed and authorized personnel under the firm's supervision and compliance procedures. Success in the role will be reflected in accurate and timely account processing; responsive client service; well-prepared meetings and planning materials; reliable follow-through; careful documentation; progress toward licensing and professional development goals; and increasing ability to support Advisors and clients independently within the position's approved scope. Compensation: $70,000.00 per year CrossMMG provides comprehensive HR solutions and administrative services tailored to the needs of client-first firms. From hiring support and onboarding to compliance, benefits, and day-to-day HR guidance, CrossMMG helps streamline the employee experience, so you can focus on growing your business while they support your team.