Luminous Financial Group LLC · 1 day ago
Registered Client Service & Operations Associate (OSJ Track / Series 24 Path) (Remote)
United States
Full-time
Remote
Entry, Mid Level
$24/hr - $34/hr
2+ years expLuminous Financial Group is a boutique financial services firm that supports wealth management clients and advisors. They are seeking a licensed, client-facing professional who will manage participant support, oversee client onboarding, and provide operational assistance, with potential for growth into compliance responsibilities.
FinanceProperty & Casualty InsuranceFinancial ServicesRisk ManagementWealth Management
Hiring Manager
Chris Gall, CPFA, AIF®
Responsibilities
Manage 401(k) Participant Call Center Support
Answering inbound participant calls and resolving needs in a professional, calm, and friendly manner
Assisting with account access/navigation, plan questions, and general participant support
Coordinating follow-ups and documenting interactions clearly
Ensuring a consistent, high-quality participant experience
Own New Client Onboarding (High-Touch Process Owner)
Acting as the primary onboarding guide for new clients
Coordinating with our assistant who helps gather information and handle paperwork
Proactively scheduling walkthroughs and being available to clients during onboarding
Offering hands-on help with technology, account access, portals, and “how to” training
Creating a white-glove, organized, confidence-building onboarding experience
Backup Administrative Coverage (As Needed)
Scheduling coordination, operational follow-ups, and general support tasks
Helping keep day-to-day work moving when volume spikes
Support Group 401(k) Meetings and 1-on-1 Participant Meetings (Some Travel)
Group 401(k) meetings
1-on-1 participant meetings (some on-site travel, not frequent)
Zoom-based participant/client meetings as an alternative for some plans/clients
Advisor Vacation Coverage & Support
Supporting trading-related needs and time-sensitive operational tasks (within your licensed role and firm procedures)
Coordinating client communications and follow-ups
Helping ensure nothing slips through the cracks
Long-Term Growth: “Luminous Clients” & Bonus Potential
For the right person, there is a path to supporting a book of firm clients over time
Clients remain “Luminous” clients
Compensation would be via wages plus performance bonuses (not a standalone commission-based advisor role)
OSJ / Compliance Track Growth (Series 24 Path)
Monitoring email and correspondence for compliance purposes
Approving business and handling daily compliance tasks
Supporting documentation standards and audit-readiness
Working with advisors we supervise to ensure proper compliance processes and documentation
Handling annual supervisory review of advisors across multiple teams
Qualification
Required
Active Series 7, 63, and 65 licenses (required)
2+ years experience in financial services (client service, operations, advisor support, retirement plan support, broker-dealer/RIA environment, etc.)
Strong communication skills—clear, professional, and client-friendly
High attention to consider-the-details work (paperwork, follow-ups, documentation, process)
Comfortable working remotely while staying accountable and responsive
Strong team orientation—no “that's not my job” mindset
Preferred
San Diego area
Series 24 already, or a strong commitment and plan to obtain it
Experience with 401(k) participant services, onboarding, trading support, or compliance workflows
Bachelor's degree preferred
Benefits
Paid Time Off (PTO) – PTO is included and increases over time based on tenure.
401(k) Plan with Company Match – Employees are eligible to participate in the firm’s 401(k) plan once eligibility requirements are met. The company provides a 4% employer match .
Health Insurance (In Progress) – Luminous Financial Group is currently evaluating a group health insurance plan. If implemented, health coverage may be offered as part of the total compensation package for eligible employees.
Performance-Based Bonuses – Additional compensation opportunities may be available based on performance and expanded responsibilities.
Company
Luminous Financial Group LLC
We are a technology focused, values driven, independent, full service financial planning and wealth management firm.
2-10 employees
Funding
Current Stage
Early StageLeadership Team
Chris Gall
President
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