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Sequent Planning Omaha, NE

Job Description


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.”

Job Details

Date Posted December 7, 2018
Date Closes January 6, 2019
Located In Omaha, NE
Job Type Full-time Employee
Experience Level Intermediate (3-7 yrs. experience)
Start Date Immediately
SOC Category 13-2011.02 Auditors
Zipcode 68114
Name Human Resources
Address 8420 W Dodge Road, Suite 510
City, State and Zip Omaha, NE 68114
Phone 402-397-3311
FAX 402-343-9955

This job requires the following skills

  • Accounting Management
  • Cash Flow / Income Analysis
  • Compliance
  • Financial Planning
  • Financial Reporting
  • Internal Auditing
  • Finance / Insurance / Banking - Other Software

Course(s) relevant to the skills listed for this position