PARAPLANNER/Financial Planning Assistant

Fallbrook, CA 92028 | Temporary to Permanent

Post Date: 05/21/18 Job ID: 18050101-TEM Industry or Function: Finance/Business Compensation: $23.00-26.00 per hour

JOB #: 18050101-TEM

KEY WORDS: Paraplanner, Financial Assistant, Licensed Paraplanner, Financial Planning Assistant, Financial Advisor Assistant

JOB DESCRIPTION: Looking for a sharp, professional, and licensed Paraplanner to assist Financial Advisor in managing and organizing office work flow at an expert level. This position will consistently follow high standards of business and professional ethics when dealing with others and/or performing work activities. Required to follow legal and regulatory requirements and company policies in dealing with others and/or performing work activities. May perform defined functions under each of the six key advisory tasks.

Interested candidates please respond to this posting and submit your resume to, and call Liz @ 888-513-9413 ext. 411. I look forward to hearing from you!

Job Duties:
Financial Planning Assistance
Case Analysis
• Enter/examine data, inventories or initial schedules for accuracy and completeness
• Review/interpret financial statements; perform numerical calculations
• Prepare preliminary financial planning recommendations
• Prepare charts, graphs, tables and other visual aids to be used in implementation meetings with clients
• Prepare additional materials for client meetings as assigned by Advisor
• Maintain contact during the financial planning process
• Review and update client information as needed for client review meetings
• Attend and participate in client meetings as necessary
• Client Service (only if related to plan implementation)
• Execute trades
• Manage and resolve client service problems
• name and address changes
• AAPS (automatic annuity partial surrender); BAs (bank authorization)
• billing - direct and group; dividend/interest changes; free look cancellations
• renewal of Flex Savings and Stock Market Certificate participation changes
• side fund changes; systematic payout (SPOs); Allocation changes; Dollar-cost averaging (DCA)
• Sub-account transfers; Sweep arrangement changes
• checks to clients or other products using available cash or margin
• The following transactions must be conducted with the advisor's documented directions: loans (insurance and certificates), redemption/surrenders (mutual funds, annuities, certificates, insurance, brokered funds), withdrawals (annuities), exchanges (mutual funds, certificates, brokered funds) and buy/sell trades.

Administrative/Practice Management
• Review work methods and procedures for possible quality improvements and efficiencies; implement them when appropriate
• Assign and delegate work and provide feedback, when appropriate, to other planning support staff
• Plan and prioritize own work schedule; use work/time management systems
• Act as a technical resource provide training and support to other paraplanners and planning assistants
Salary Range:
$23.00-26.00 per hour

Job Requirements:
• Direct attention to detail and organization
• Effective Communication oral and written
• Positive attitude and professionalism at all times
• Coachable and open to learning and growing
• Full readiness to be an active team player
• 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 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

Preferred Skills and Experience:
To be a Paraplanner, you will need to already have (Preferred) or be willing to study for and pass exams for federal and state licenses and registrations for securities - including:

Series 7
Series 66
State life, accident and health insurance licenses

Educational Requirements:
• Associates Degree or higher OR equivalent experience with a goal for furthering



Elizabeth Valdez
Sr Executive Account Manager/Recruiter

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