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Financial Planning Assistant

Financial Planning Assistant


•Assists Advisors in servicing clients, completing work for client meetings, and preparing client deliverables. •Assists Advisors in the financial planning workflow and otherwise relieves Advisors of clerical work and administrative and business detail by performing the following duties. 

•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. Essential Duties and Responsibilities: •Answers phones, gives information to callers, routes calls to the appropriate person, takes messages, and services clients. 

•Schedules client appointments and arranges conference calls. Responsible for confirmation of all scheduled calendar entries via phone, e-mail, or mail. This includes confirmation of client meetings as well as any other scheduled events. 

•Greets scheduled visitors, extends hospitality, and conducts to appropriate area or person. 

•Manages client contact, which may include new client set-up, updating client and prospect information, client service calls, client deliverables, and all client paperwork. 

•Responsible for preparing and summarizing client meetings by scheduling and confirming meetings, organizing and printing out appropriate reports, and providing necessary follow-up. 

•Prepares and verifies information for client forms, applications, and other documents. 

•Composes and types routine correspondence to clients and administers client appreciation tasks. 

•Properly documents all client contact, including phone calls, meetings, and mail handling in accordance with Ameriprise compliance standards. 

•Prepares correspondence for Advisor signature. 

•Tracks and manages checks received and checks processed. 

•Responsible for new client set-up and regular maintenance of Client Management System. 

•Responsible for the population and management of client information in CRM. 

•Acts as a back-up to other team members as necessary. 

•Keeps immediate supervisor promptly and fully informed of all problems or unusual matters of significance. •Supports compliance within the practice and fulfills all compliance responsibilities. Develops an understanding and adheres to all compliance regulations throughout the course of employment. 

•Accepts and performs other duties as assigned. 

•Regular and predictable attendance, punctuality, and strict adherence to the Company’s attendance policy are essential functions of this position. 

Supervisory Responsibilities: 

This position has no supervisory responsibilities. 


To perform this job successfully, an individual should demonstrate the following competencies: 

•Client Service - Manages difficult or emotional client situations; responds promptly to client needs and to requests for service and assistance; meets commitments. 

•Interpersonal Skills - Focuses on solving conflict; Maintains confidentiality; Listens to others without interrupting; Keeps emotions under control; Remains open to others' ideas and tries new things. 

•Oral Communication - Speaks clearly and persuasively in positive or negative situations; Listens and gets clarification; Responds well to questions. 

•Written Communication - Writes clearly and informatively; Edits work for spelling and grammar; Varies writing style to meet needs; Presents numerical data effectively; Able to read and interpret written information. •Teamwork - Exhibits objectivity and openness to others' views; Gives and welcomes feedback; Contributes to building a positive team spirit; Puts success of team above own interests; Supports everyone's efforts to succeed. •Diversity - Shows respect and sensitivity for cultural differences; Promotes a harassment-free environment. •Ethics - Treats people with respect; Keeps commitments; Inspires the trust of others; Works with integrity and ethically; Upholds organizational values. 

•Organizational Support - Follows policies and procedures; Completes administrative tasks correctly and on time; Supports organization's goals and values. 

•Motivation - Sets and achieves challenging goals; Demonstrates persistence and overcomes obstacles; Measures self against standard of excellence. 

•Professionalism - Approaches others in a tactful manner; Reacts well under pressure; Treats others with respect and consideration regardless of their status or position; Accepts responsibility for own actions; Follows through on commitments. 

•Quality - Demonstrates accuracy and thoroughness; Looks for ways to improve and promote quality; Applies feedback to improve performance; Monitors own work to ensure quality. 

•Attendance/Punctuality - Is consistently at work and on time; Ensures work responsibilities are covered when absent; Arrives at meetings and appointments on time. 

•Adaptability - Adapts to changes in the work environment; Manages competing demands; Able to deal with frequent change, delays, or unexpected events. 

•Dependability - Follows instructions, responds to management direction; Takes responsibility for own actions; Keeps commitments; Completes tasks on time or notifies appropriate person with an alternate plan. 

•Initiative - Volunteers readily; Undertakes self-development activities; Seeks increased responsibilities; Looks for and takes advantage of opportunities; Asks for and offers help when needed. 


To perform the job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed are representative of the knowledge, skill, and/or ability required. Reasonable accommodation may be made available to enable individuals with disabilities to perform the essential functions. 

Education and/or Experience: 

Associates or higher degree from an accredited institution, college, or university; or one to two years related experience and/or training preferred;

Please send your resume to Renisha Sanders at

Additional Info

Job Type : Full-Time

Education Level : Bachelors Degree

Experience Level : Entry Level

Job Function : Administrative, Customer Service

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