Paraplanner/Client Relationship Manager

paragon wealth advisors
Seattle, Washington
$75K + DOE
Jan 15, 2021
Mar 16, 2021
Job Role
Employment Type
Full Time
Experience Level
1-4 years
CFP® Certification
Not necessary

This is a professional position that will support the Lead Advisors in managing existing and new client relationships. The Paraplanner position is a high-level position which requires demonstrated competence in the Financial Services Industry. Thorough computers skills are essential with a particularly strong understanding of Microsoft Excel. A working knowledge of portfolio allocation, investment management and general financial planning is expected. The Lead Advisors are available to provide mentoring and big picture direction, however you must have the ability to utilize critical thinking skills, work independently and anticipate firm needs and client questions. You must consistently follow high standards of business and professional ethics and legal and regulatory requirements when dealing with others and/or performing work activities.The Paraplanner role provides client relationship support for financial advisors through meeting preparation and follow up (including graphs, charts, tables and other visual aids) with clients. This includes creating meeting summary letters, executing trades, money movement, and other transactions, preparing preliminary investment recommendations and initial product solutions for advisor review, attending client meetings with advisor, responding to and resolving ad hoc client requests, processing new account paperwork, and preparation of other client deliverables as needed. You will be integral in ensuring a world class client experience and maintaining a high level of service throughout the practice. You may also be asked to manage and track projects as well as other day to day business tasks.

This position will consistently follow the highest standards of business and professional ethics and comply with all legal and regulatory requirements. This is not a sales position

Responsibilities may change over time to meet the needs of the practice and based on candidate skills and


Essential Duties and Responsibilities:

  • Handles all security transactions and life insurance processing. Completes client trades accurately and in a timely fashion with client approval or advisor direction.  
  • Prepares and processes client deliverables. 
  • Work with Thompson One, Salesforce, and Morningstar software with a working knowledge of Money Guide Pro and Naviplan 
  • Manages client contact, which may include new client set-up, updating client and prospect information, client service calls, client deliverables, and client paperwork. 
  • Responsible for preparing and summarizing client meetings by completing service checklist, organizing and printing out appropriate reports, and providing necessary follow-up. Attends and participates in client meetings as necessary. 
  • Responsible for the review of all client meetings to ensure all follow-up is completed. This includes trades, applications, compliance signatures, deliverables from or to the client and miscellaneous items as determined by Advisor or client expectations.
  • Prepares and ensures new business paperwork processes successfully which may include preparing forms, obtaining appropriate signatures, preparing documentation, tracking new insurance applications, and coordinating rollovers and inter-company transfers.
  • Provide general administrative duties such as answering the advisor’s phone, processing expense management reports, preparing routine client correspondence, support for closes, set up of client files, copying, and new business corrections and alerts.
  • Tracks all of the new business and GDC summaries for advisor. Reconciles the new business and GDC to ensure all new business has been paid out to the advisor.
  • Fields all service-related client issues and processes applicable trades and transactions for the clients.
  • Takes away as many service-related issues from the advisor so that the advisor can focus on meeting clients and sales related activities.
  • Accepts and performs other duties as assigned.
  • The Paraplanner exercises independent judgment and discretion in performing the job duties associated with the role. The ability to exhibit sound and accurate judgment, include appropriate team members in the decision-making process, and make proper decisions is paramount. In addition, the ability to consistently follow high standards of business and professional ethics and legal and regulatory requirements when dealing with others and/or performing work activities is necessary. 



The successful Paraplanner will have good to excellent inter- and intra-personal relationship skills, effective communication skills, and the ability to approach others in a tactful manner.

Fully licensed in accordance with Ameriprise standards. The following licenses are required for the Paraplanner position: Federal and State licenses and registration for securities, including the Series 7 and Series 66. State life, accident, and health insurance licenses are also required (or be willing to take and pass exams within 120 days of hire)

You are required to retain all necessary registration and licenses (including Continuing Education) for the Paraplanner position. You must maintain the above mentioned licensing as well as retain any additional licensing that may become required for your position.

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