Opportunities Through FPAOC

To post an open position in the financial planning profession, please submit your ad in an email as an attachment in WORD to admin@fpaoc.org.

Job Opportunities

Paraplanner/Operations Manager (Posted 8/9/19)

Asset Planning, Inc. (API) is a fee-only independent financial planning and Registered Investment Advisor (RIA) firm, dedicated to doing what is best for our clients. We currently manage $300 million in assets for 270 households with a steady flow of new client relationships. The firm is a NAPFA Corporate Member, with over 30 years’ experience.

To be successful at API, our team members must have a passion for personal finance and client service as well as enjoy working among a tight-knit team of colleagues.

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Paraplanner/Operations Manager Position

This position encompasses operations, client service, financial planning, and back office/trading support for the 3 owners/lead advisors of the firm.

Key Responsibilities will include:

  • Master and improve functionality of various programs. Ability to research, recommend and implement technology upgrades as needed. Primary programs we currently use are Junxure CRM, Morningstar Advisor Work Station, Portfolio Center, Naviplan, TD Ameritrade Veo, Schwab Advisor Center, & Microsoft Excel
  • Research investments and make recommendations of additions or subtractions to each advisors core investment watch list. Meet with investment fund representatives and listen to webinars as needed. Assist in portfolio allocations, models and rebalancing.
  • Manage projects to improve company scalability, automate processes, enhance client experience, & new business development
  • Collaborate with Financial Advisors and Para Planner in creating financial plans for clients including investment reviews, retirement modeling, insurance analysis, tax mitigation planning , college planning, Social Security analysis, lump sum vs annuity pension analysis, and various other wealth management client needs.
  • Research ad-hoc topics & complete special projects as assigned
  • Assist in marketing projects, analytics, social media, prospect/client material, blog, and website
  • Assist advisors in placing trades
  • Assist in daily resolution of custodial alerts, client requests and other back office support

Qualifications:

  • Excellent team skills, positive attitude, high ethical/ customer service standards, and ability to maintain confidentiality of sensitive information.
  • Must possess series 65 securities license or obtain within 3-6 months of hiring and be able to pass all state and SEC regulatory requirements.
  • Strong Microsoft Excel skills a must
  • Must be able to assess and take initiative independently
  • Ability to learn new software easily. Experience using CRM, portfolio reporting, financial planning, portfolio modeling software a plus.
    Ability to maintain friendly and professional verbal and written communication with our clients
  • Bachelor’s Degree. Major in math, finance, economics, business preferred
  • Extremely detailed-oriented, analytical, strong focus on accuracy
  • We welcome career changers

Benefits:

  • Compensation: based on experience $50,000 – $70,000 with $5,000 to $15,000 bonus potential
  • 401(k) and profit sharing plan
  • Eligible for annual bonus
  • Health Benefit allowance
  • Cell phone allowance
  • Continuing education & licensing allowance
  • Generous Paid sick, holidays, and vacation.

Email Resume and Cover Letter to erin@assetplanniginc.com

www.assetplanninginc.com

 

Financial Service Admin (Posted 7/26/19)

We are a boutique wealth advisory firm in Newport Beach looking for an sales / admin assistant to the owner of the firm. Probitas Financial is a growing, thriving firm that provides five-star personalized fee-based services to its client family.

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Summary of responsibilities

Looking for a sharp team member who takes initiative and is a problem solver. The position is ideal for an admin professional looking for a flexible schedule of approximately 15- 20 hours per week near John Wayne airport in a highly desirable office building. The owner may consider full time with appropriately qualified candidate. Salary will reflect experience and qualifications.

  • Confirm and set client appointments.
  • Follow-up with existing clients on the phone and become familiar with their account details and concerns.
  • Prepare client financial planning folders and assist with gathering the information needed to open new client accounts.
  • Be initial point of contact for client calls and know what client requests shall be handled or passed off to the advisor.
  • Take responsibility and authority to run the back office to ensure proper systems and procedures are in place.
  • Function as an important “partner” in the management of the practice, agreeing to the overall vision of superior client service.

Key Competencies:

The ideal candidate will be of a self-starter mindset and capable of handling a multitude of tasks simultaneously while feeling comfortable talking to our high net worth clients.  Our IT is Mac based. The candidate will also:

  • Have a superior client service mindset
  • Be mac savvy / Proficient using MS Office and Apple equivalents
  • Have knowledge of spreadsheet and mail merge
  • Have experience in using CRM databases, including Redtail
  • Be a “Quick study” on new concepts
  • Have excellent verbal and written communication skills
  • Have knowledge of customer service principles and practices
  • FINRA Series 6, 7 and/or 63 licenses a plus

Gary Vyneman
President / Owner

Phone (949) 528-6060

gary@probitasfinancial.com | probitasfinancial.com

Financial Service Associate (Posted 7/12/19)

We have been helping our clients fulfill their financial goals since 1998. Guided Path Wealth Management is a boutique firm that advocates a healthy work/life balance both for our clients and our team.

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Summary of responsibilities

This position requires accurate and timely completion of the firm’s administrative functions. Client interactions must be professional and personable as to create and nurture confidence inspiring relationships. The objective is to have the office operate efficiently such that the advisor can focus primarily on existing and new client relationships. 

Principal responsibilities

  • Provide an exceptional customer service experience to reinforce our firm’s value proposition: A boutique firm that focuses on treating each client like they are our only client
  • Communicate in an articulate, professional and timely manner
  • Accurately facilitate all client paperwork; ensure all required forms are fully completed
  • Generate reports and prepare materials for advisor’s meetings with clients
  • Review advisor case notes for accuracy, attach to client record in CRM and complete all action items as required
  • Maintain up to date, organized electronic client files, including copies of all signed applications and forms, in accordance with the firm’s compliance requirements
  • Manage office administrative procedures in accordance with the firm’s compliance requirements
  • Use the CRM system efficiently to schedule client meetings, enter new contacts, and document in case notes all relevant client interactions and account administration
  • Data entry of all client information into the appropriate programs/software
  • Work closely with advisor to oversee all licensing, credential and continuing education requirements
  • Make suggestions to systematize and improve office function and efficiency
  • Provide total office coverage when advisor is out of town or predisposed
  • Regularly review our Broker/Dealer’s news items, technology updates, and e-mail communications; report pertinent information back to advisor
  • Proactively pursue available training resources to expand knowledge and operational expertise
  • Systematize and oversee social media posts and ongoing client correspondence
  • Track and order all supplies
  • Keep office clean and presentable.

Required knowledge/skills/competencies

  • Ability to work independently and differentiate between matters that should be handled alone versus those that require advisor assistance
  • Ability to effectively prioritize workload and meet deadlines
  • A conscientious nature and strong interpersonal skills
  • Ability to maintain attention to detail while under pressure
  • Ability to identify and solve problems
  • Proofreading/quality assurance skills to ensure that all work is accurate and grammatically correct
  • Excellent organizational skills and high attention to detail. (Including physical resources such as files, manuals, etc. and nonphysical resources such as calendars, appointments, events, client contact records, images, etc.)
  • A self-starter who can work independently with enough patience to do repetitive work correctly
  • Three years of experience facilitating Wealth and Risk Management business or five years of experience in an administrative role
  • Proficiency with Microsoft Office Suite (Excel, Word, Outlook and PPT); familiarity with financial planning software a plus
  • Bachelor’s Degree
  • FINRA Series 6, Series 7 and/or Series 63 registrations are a plus
  • Be curious – Always strive to learn and improve

Additional Information

  • Salary will reflect experience and qualifications
  • References and relevant experience required
  • To apply, email your cover letter and resume to info@guidedpathwm.com
  • Qualified applicants will be contacted to schedule an interview

 

 Brian Ephraim, CFP
Principal

26861 Calle Hermosa
Capistrano Beach, CA 92624

Phone (949) 441-3102 | Fax (949) 449-8050

brian@guidedpathwm.com | www.guidedpathwm.com