- Full-time, benefits-eligible
- Onsite at our offices at 8420 W Dodge Rd., Ste. 510, Omaha, NE 68114 with one (1) day remote
- Hours: Monday - Friday 8:00 AM - 4:30 PM
- Maintain existing adviser relationships through the processing of requests, resolving inquiries escalating as appropriate, and ensuring information and documentation are up to date.
- Prepare preliminary financial planning recommendations and initial product solutions for advisor review and use in client meetings.
- Assist adviser with new client accounts, which includes the collection of required documentation and client information.
- Coordinate and report all sales plan tracking and daily operation activities on an ongoing basis and be able to generate reports on an as-needed basis.
- Assisting the management team with internal compliance and external requirements necessary for new accounts and assets.
- Review adviser activity including business submitted. Maintain open lines of communication with vendors and review and suggest vendor changes.
- Adhere to budget guidelines and approved annual marketing or business unit plans.
- Onboard independent investment adviser representatives (IAR).
- Background reviews, onboarding questionnaires, access to technology once approved by Sequent, registration with states, etc.
- Train and guide each adviser through the technology platform set-up for thorough understanding.
- Assist with ongoing training and case management.
- Review, manage, and administer working supervisory procedures.
- Manage the consolidation of compliance calendar, physical audits, etc.
- Maintain compliance training for Advisers and Employees via the online portal.
- Assist with audits of Sequent Planning by state and SEC auditors.
- Work collaboratively with fellow staff to advance the values and mission of Sequent.
- Health Insurance*
- Dental and vision insurance*
- 401(k) with company match*
- Paid time off
- Stable, friendly, and professional environment that does not micromanage your work but rather rewards innovation
Senior Operations - Omaha, United States - Alliant Insurance Services
Description
Alliant Insurance is hiring a Sr. Operations & Planning Associate at Sequent Planning
Sequent Planning is a registered investment adviser (RIA) committed to supporting its investment advisor representatives with everything they need to design holistic retirement plans that impact clients' lives.
POSITION HIGHLIGHTS: Our Sr. Operations & Planning Associate will be responsible for the efficiency of the operations, onboarding and training of independent agents, recruiting adviser prospects, and supporting the day-to-day activities.
RESPONSIBILITIES:
QUALIFICATIONS:
Bachelor's Degree in Business, Finance, or related field preferred.
Five (5) or more years of operations back-office experience in financial services, or an equivalent combination of industry training, designations, and experience
Series 65 license or equivalent preferred
PERKS AND BENEFITS:
*Available the first of the month following date of hire