Position Title: Financial Planning Assistant
Step into an instrumental role. 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. Assist in daily business operations and become part of a team helping hundreds of local clients invest for what’s important to them.
This position completes tasks which allow the advisor to focus more time and energy on client acquisition and deepening client relationships. The planning assistant supports the many different tasks for which the practice is responsible and ties directly to the overall business plan of the practice. This position allows the advisor the assurance he needs to know that his practice is being maintained and supported within Ameriprise Financial guidelines.
The role will initially include various administrative tasks and client service functions with the opportunity to grow into a licensed paraplanner and associate financial advisor position. Seeking applicants who are willing to learn the financial planning business and desire a career in financial services. Read more about Ameriprise and our practice at www.ameripriseadvisors.com/steven.m.harty
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.
Administrative / Business Management
- Schedule client appointments, prepare agendas for client appointments
- Prepare and process client forms and applications, set up new business
- Conduct client check-in calls on follow up items
- Prepare correspondence for advisor signature
- Copy, document and track all client and practice materials including business correspondence
- Assist paraplanner and advisor with ad hoc requests
- Manage and resolve client service problems including following up with home office on related issues.
- Answer questions and provide readily available information to clients, if requested and as allowable, as it relates to servicing their accounts
- Maintain client management system, document client contact/calls
Financial Planning & Advice
- Prepare preliminary financial planning recommendations and initial product solutions for advisor review and use in client meetings
- Develop portfolio/robust product solution recommendations that will fit the client’s risk tolerance and time frame as well as develop appropriate product deliverables.
Key Traits and Personal Qualities:
- Direct attention to detail and organization
- Effective communication with clients and advisor/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 and FINRA
- Ability to support and provide guidance for compliance within the advisor’s practice
- Positive attitude and sincere willingness to constantly learn and grow
- College degree
- Proficient in Microsoft Office including Word, Excel and Outlook
- Fingerprinting and background check required
- Ability to study for and pass exams for federal and state licenses and registrations for securities, including Series 7, Series 66, and State life, accident and health insurance licenses.