Full Job Description

Paraplanner/Investment Services Assistant

OVERVIEW

We are looking for a professional, detail oriented, people person that can immediately work with our team, supporting them around our experience at Financial Partners, Inc. as well as provide proactive exceptional client experiences and problem solving, ultimately helping our clients to make great financial decisions.

Job Requirements

As part of our team, you should have integrity, a high level of ethical standards and have a willingness to learn and grow into a role in our firm focused on client service, financial planning, and/or advising and guiding our clients.

Requirements of the role include:

Excellent written and verbal communication skills for both internal and external communications. Emotional competence to handle stressful situations, changing priorities, and fast-paced environment while still providing a high level of client service. Strong empathy and interpersonal skills with an ability to listen well and translate into a solution.

Computer literate, able to learn new programs.

Attention to detail and organization, with effective time management and prioritization skills.
Ability to work independently and within a team-based environment including active participation in team meetings. Sincere willingness to constantly learn and grow within the role.
Ability to support and provide guidance for compliance within the practice.
Licensed or ability to obtain prior to hire: Adequate FINRA Licensure, Life & Health Insurance License (Iowa)
College degree preferred.
Previous related experience preferred.

Responsibilities:

Client Service:

Result Statement: To provide an exceptional problem solving and friendly experience for all clients requesting support while offering proactive service complete with a high level of problem resolution, follow-through, and communication.

- Communicate with clients to fully understand their inquiries or requests.

- Contact appropriate individuals or companies to resolve clients’ inquiries or requests and inform clients of outcome.

- Process requests made by individuals managing case-prep and post-appointment activities.

- Activities as directed by Advisor.

- Consistently follow high standards of business and professional ethics and legal and regulatory requirements when dealing with others and/or performing work activities.

- Respond to ad hoc requests, coordinate/track projects and/or manage business-as-usual projects such as organizing events or education for prospects and clients.

Case Prep & Post Appointment

Result Statement: To prepare meeting materials in an efficient, thorough, and accurate manner and ensure that follow-up activities determined during meetings are completed, allowing for a systematic meeting process and strong follow-through of commitments.

- Request information from appropriate individuals to compile material for appointment.

- Ensure dictated notes are completed after each meeting and update CRM with notes.

- Review and assign post-appointment tasks as indicated.

- Complete post-appointment tasks as necessary.

- May provide ‘second chair duties’ in client meetings with the ability to execute data gathering, and work with clients to fulfill various client requested needs and resources.

New Business Processing:

Result Statement: To process and monitor new business from beginning to end with attention to detail and a sense of urgency while keeping advisors and clients informed through the process resulting in happy, informed clients and advisors as well as accuracy of policies.

- Prepare applications and brochures for meetings.

- Order quotes and illustrations.

- Review, complete, and submit applications.

- Monitor status on pending items weekly and handle pending requirements immediately.

- Enter information in CRM.

Plan Construction:

Result Statement: To optimize the client’s financial planning experience by providing an easily understood and well laid out visual depiction of the advisor-produced financial plan.

- Comprehend and develop appropriate plans utilizing our programs.

- Enter data to Create all components of the plan.

- Verify information with advisor.

- Obtain any education materials as directed by advisor.

Trading and Account Monitoring:

Result Statement: To perform data analysis, calculations, fund research, and asset allocation strategies including third party research, market monitoring, client account monitoring, trading and rebalancing processes in alignment with advisor guidance.

- Understands and correctly uses trading platforms specific to company trading requirements.

- Accurately enters block trading requests as well as individual account requests. Appropriately submits trading tickets.

- Meets regularly with advisors and reviews holdings, models, asset allocation, and technical and fundamental data in consideration of allocation changes.

- Maintains due diligence file related to trade research.

Compliance:

Result Statement: To allow the organization to operate with consistent and effective compliance procedures ensuring that supervised individuals within the firm are trained on, monitored on, and have completed procedures as outlined in the RIA compliance manual and code of ethics.

- Consider and implement processes in accordance with governing bodies.

- Manage compliance requests.

-Completed requested items as outlined in the RIA compliance manual on a monthly, quarterly, or annual basis by deadline.

As part of our team, you will receive:

Competitive salary working in a team-based environment.
Ongoing training.
Comprehensive benefits plan including medical, dental, and retirement plan.

About us

Financial Partners, Inc. is an Iowa-based independent boutique financial advisory firm founded in 2000, offering comprehensive services to cover all phases of life from accumulation to distribution and beyond.

Equal Opportunity Employer.

The above statements are intended to describe the general nature and level of work being performed by people assigned to this classification. They are not to be construed as an exhaustive list of all job duties performed by the position.

Job Type: Full-time Salaried Position

Pay: Compensation commensurate with experience

Benefits:

Simple IRA with Employer 3% match
Employee discount
Health insurance
Paid time off
Professional development assistance

Schedule:

Monday through Friday, regularly scheduled business hours

Work Location:

One location

Financial Partners, Inc.

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