Help conduct the smooth operation of a fast-paced-and friendly-financial planning office. Work as an employee of an independent advisor franchisee with a financial advisory practice of Ameriprise Financial. The practice Assist in daily business operations. The paraplanner will primarily assist financial advisor(s) and associate financial advisor(s) in the financial planning workflow. This position will consistently follow high standards of business and professional ethics and legal and regulatory requirements when dealing with others and/or performing work activities. This role provides client relationship support through managing, gathering, and analyzing client data, helping prepare preliminary financial plans and other client deliverables, working with clients to resolve issues and other practice management tasks as needed. Responds to ad hoc requests, coordinates/tracks projects and/or manages business-as-usual projects such as organizing a client seminar. Responsibilities and Time Allocation - Will change over time to meet the needs of the practice and can include other duties as assigned by the advisor. Responsibilities Position Functions: Client Service & Management
Calendar Management and Appts:
- Ensuring an exceptional client experience before and after meetings.
- Process paperwork for new client onboarding and servicing existing client book of business.
- Trade client accounts per advisor or client instructions.
- Organizing client statements and meeting notes
- Summarize implementation activity in a client follow-up letter.
- Ensure ACATs, transfers, checks, ACH and brokerage link with follow-up to all parties.
- CRM (Client Relationship Management) development and implementation. Consistently update the client files.
- Update beneficiary (get information disclosure form and trustee/executer contact info and contact this person), POA and consistently update suitability including but not limited to any changes in clients' suitability requirements, email address and phone numbers (change to consistently update suitability) to maintain compliance requirements.
- Follow up on submitted paperwork and any account changes.
- Submit completed and signed paperwork in a timely fashion.
Staff & Business Operations: and Office Management
- Maintain master client service spreadsheet. Ensure updated on daily basis. Use this to schedule ongoing client meetings. Ensure any new clients on-boarded are added to the spreadsheet. Ongoing - Update spreadsheet and use to best potential. Calendar management needs to be top priority especially for DOL and minimum annual review for all managed accounts.
- Track follow up to meetings- gather statements, applications as needed in order to complete business processing.
- Manage follow up communications with clients after meetings - sending out summary letters/emails and phone calls - follow up for items required.
- Base appointments on segmentation list.
- Add documents to calendar for all appointments in a systematic organized fashion.
- Ordering office supplies.
- Booking wholesaler appointments.
- Marketing Event planning.
- Website maintenance and marketing on demand-social media updates.
- Training new employees if needed.
- Maintain files and records in accordance with the records retention policy.
- Update required documentation.
- Schedule and conduct a weekly meeting with all administrative staff - should meet at least once a week.
- Work with entire staff and follow up on all trackers relating to Business Opportunity and Referrals.
- Managing & track compliance requirements for licensing including any required firm element or regulatory element training.
- Input in all areas of staff decision making, as well as the hiring and termination process.
- Management of staff.
- Summary of weekly tasks and completions when advisors are out from all staff.
- Assist in business processing with Client Service Manager.
- Direct attention to detail and organization.
- Effective communication with clients and other advisors/staff.
- Effective and efficient time management.
- Polite and clear phone manner.
- Ability to multi-task.
- Ability to adhere to rules and regulations as stated and required by advisor, Ameriprise Financial.
- Ability to support and provide guidance for compliance within the advisor's practice.
- Positive attitude and sincere willingness to constantly learn and grow.
About Our Company
- 2- or 4-year College degree
- 2+ years of similar experience.
With the right company, life can Be Brilliant®. At Ameriprise Financial, we're not just in the business of helping clients with their financial goals - we also help our advisors and employees reach their true potential by embracing an inclusive and collaborative culture. We celebrate the unique qualities and reward the contributions of our talented, passionate employees. If you're motivated and want to work for a strong, ethical company that cares about you and your community, take the next step with Ameriprise Financial and we can Be Brilliant® together.
Ameriprise Financial is an equal opportunity employer. We consider all qualified applicants without regard to race, color, religion, sex, national origin, genetic information, age, sexual orientation, citizenship, gender identity, disability, veteran status, marital status, family status or any other basis prohibited by law.