Investment Assistant; Licensed - Tallahassee, FL

Investment Assistant (Licensed) - Tallahassee, FL

Job Category
:
Investments

Requisition Number
: INVES
003354

• Posted :
  November 12, 2025
• Full-Time

Showing 1 location

Investment - Capital City Bank - More than your bank. Your banker.

Hours:

Monday - Friday 40 Hours

8:00 a.m.

- 5 p.m.

General Summary

Responsible for extensive research and fulfillment with regard to existing client inquiries and problems, providing back-up to Financial Advisor. Assisting clients with operational information pertaining to accounts and account set-up. Provides the operations functions for all Financial Advisors at Capital City Investments (CCI).

All associates at Capital City Bank, Capital City Wealth, and Capital City Home Loans have access to confidential client information and must practice discretion at all times.

Principal Duties and Responsibilities

Note:

Placing trades per client or Financial Advisor request can only be performed by a fully LICENSED associate.

Licensed and Unlicensed associates will function in support of the department in addition to any primary Financial Advisor they may be assigned to support. All Investment Assistants will be called upon to support the department as needed.

Daily Functions

• Perform required follow-up necessary to ensure account is in order and approved through Client Works. Create original file on Redtail for client and upload documents on LPL and Redtail.
• Set up electronic funds transfer (EFT) links
• Act as back up for opening accounts.
• Provide instruction on proper documentation required for various accounts as well as instruction on proper account registration.
• Mail new account documentation to clients for new and updating accounts.
• Perform required follow up on EFTs, wires and trades. Handling error correction through order desk, and researching items as needed. Forward completed information to Financial Advisor.
• Process incoming checks and securities and Uploading to Redtail under appropriate office for compliance. Including follow up on legal items, stock transfers, and verification of account notices.
• Process check requests, wire transfers, EFTs, and IRA distributions. Same day they are requested or when funds are available. (LPL cut off time 4:pm est.)
• Send overnights to LPL Financial Operations and vendors, as necessary.
• Read, understand, and disseminate any Operational bulletins that impact the functioning of the office.
• Return all client calls and emails by end of day they are received. Perform research and fulfillment with regard to existing customer inquires and problems.
  Process address changes for LPL Financial and vendor accounts.
• Act as back up for quotes, order entry, and account information when Financial Advisors do not have access to Clientworks, is with a client, on the phone, or out of the office.
• Process closed account on Client Works and update Redtail to closed

Weekly Functions

Proactively communicate with clients regarding all service needs, administrative requests, appointment/review scheduling, invitations, and to maintain overall client relationships.

• Routinely maintain current client resource management tools (i.e. Redtail).
• Assist Financial Advisor’s in creating a professional, secure and welcoming atmosphere.
• Follow up on all direct trade applications including verifying proper funds or sub-accounts, direct deposit of interest payments, proper IRA coding, PIP’s and SWP’s.
• Analysis of Client Works reports to eliminate debits, credits, and make Financial Advisor’s aware of opportunities.
• Verify that annuities are linked to active LPL accounts.
• Follow up on Client Works notification and TOA’s for Financial Advisors.
• Order necessary office supplies.
• Research undeliverable mail, maintain “lost client” statements for eventual abandoned property.

Periodic Functions

• Follow up on firm element continuing education (CE) to be sure that Financial Advisors have completed.
• Reassign client’s accounts including LPL and vendor changes.
• At year end, assist in the successful completion of client required minimum distribution (RMD’s).

Marketing Functions

• Assist with regular mailings including newsletters, CCI marketing pieces, and birthday cards.
• Order business cards, letterhead, and envelopes…