Sequent Planning Omaha, NE
This Paraplanner is responsible for the efficiency of the operations, on-boarding & training of independent agents, recruiting of adviser prospects and supporting the day to day activities.
Responsibilities for this position include but are not limited to:
- Maintain existing adviser relationships through the processing of requests, resolving inquiries and escalating as appropriate and ensuring information and documentation is up to date
- Prepare preliminary financial planning recommendations and initial product solutions for adviser review and use in client meeting.
- Assist adviser with new client accounts, collection of required documentation and client information
- Coordinate and report all sales plan tracking and daily operation activities and generate reports
- Assisting the management team with internal compliance and external requirements necessary for new accounts and assets
- Review adviser activity
- Maintain open lines of communication with vendors and review and suggest vendor changes
- Adhere to budget guidelines and approved annual marketing or business unit plans
- Onboard independent investment adviser representatives (IAR)
- Train and guide each adviser through the technology platform
- Assist with ongoing training and case management
- Review, manage and administer working supervisory procedures
- Manage the consolidation of compliance calendar, physical audits, etc.
- Maintain compliance training for Advisers and Employees via the online portal
- Assist with audits, state and SEC auditors
- Bachelor’s Degree in Business, Finance or or related field preferred with a minimum of 3 years operations back-office experience in financial services, or an equivalent combination of industry training, designations and experience preferred
- Minimum of 4 years of successful management in a field or home office level preferred.
- Series 65 license or equivalent is preferred
- Detail Oriented, Organized, and good Problem Solving skills
- Customer Service Oriented
- Team Player with a high sense of urgency
- Able to multi-task in a fast-paced environment
- Excellent verbal and written communication skills
- Experience with GoToMeeting and video conferencing preferred
- Valid Driver’s License and reliable transportation
Work Hours: Monday – Friday, 8:00 a.m. – 5:00 p.m.; Additional hours may be required due to business needs.
Qualified candidates should submit resume and salary requirements. This posting will remain open until filled by a qualified candidate.
Equal Opportunity Employer; SMS participates in the E-Verify system.
“Successful people do those things that failures refuse to do.”
| Date Posted
December 7, 2018
| Date Closes
January 6, 2019
| Located In
| Job Type
| Experience Level
Intermediate (3-7 yrs. experience)
| Start Date
| SOC Category
This job requires the following skills
- Accounting Management
- Cash Flow / Income Analysis
- Financial Planning
- Financial Reporting
- Internal Auditing
- Finance / Insurance / Banking - Other Software
This job is related other jobs in these career categories
Course(s) relevant to the skills listed for this position