Who is AIS Planning?
AIS Planning is locally owned with a team that possesses over 50 years of combined experience in the financial services industry. AIS Planning works with motivated individuals/couples that value an unbiased independent approach to holistic wealth management and financial planning services, for the benefit of themselves and those they care about; as well as business owners and non-profits that genuinely care about their employees' financial well-being. AIS Planning is dedicated to providing the very best in Wealth Management and Retirement Plan services, focused on helping clients think bigger, plan better so they can enjoy more.
Position Summary:
The Client Services/Operations Specialist provides day-to-day client activity management including; non-advice-related support to clients including organizing client meetings, collecting client data, responding to administrative client queries and preparing paperwork, client letters and standard reports. Offers support to existing clients as assigned to initiate or expand client relationships in support of the firm’s strategic objectives. Understands and completes job responsibilities in accordance with federal and state compliance regulations including all confidentiality and code of ethics standards.
Principal Duties and Responsibilities:
May perform some or all of the following duties:
1. Manages all reporting, paperwork and systems training on SEI Global Wealth Platform.
2. Establishes clients in eMoney (client financial planning software) with understanding of planning processes and the client personal scenario.
3. Coordinates third party access in eMoney.
4. Maintains integrity of CRM data as it relates to client accounts.
5. Prepares agendas for all client meetings.
6. Manages meeting preparation for all types of client meetings; ensures all contracts are signed, collects contact information if needed by including information on the meeting agenda or directly asking the client.
7. Places trades, generates cash, distributions, rebalances and manages any trading issues for clients.
8. Verifies accuracy of trades and asset transfers and manages any issues or delays. Seeks assistance from the Retirement Planning Specialist and/or Managing Directors as needed.
9. Meets with Managing Directors weekly to review/prepare for client meetings, task follow up, and meeting follow up.
10. Monitors revenue and commissions for new accounts and reports inconsistencies as needed.
11. Follows up with clients as needed to makes sure all paperwork is completed & processed.
12. Follows up with clients, as needed for any eMoney lost connections.
13. Assists in development, defining, and documenting of office processes as it relates to these duties.
14. Cross-trains with the Retirement Planning Specialist.
15. Completes special projects as needed.
16. Supports Managing Directors and Business Manager as needed.
17. Maintains professional community relations and participates in community events to increase the company’s visibility.
18. Updates knowledge and develops professionally on a continuing basis; participates in internal and external training and development opportunities as required.
19. Honors Company Core Values; Heart of a Servant, Embrace Change, Motivated and Genuine.
Work Relationships and Scope:
Works closely with all AIS associates. Works regularly with clients. Works with vendors and professional affiliations. Works with highly confidential business and client information and agrees to maintain confidentiality of all information. Engage the community as a representative of AIS Planning.
Performance Dimensions:
Quality, accuracy, reliability, thoroughness and timeliness of work performed and services provided to clients and associates; strong attention to detail; highly organized; ability to become versed in financial planning software; customer record management (CRM) software; Customer satisfaction with services provided; keeps business and client information confidential; demonstrates friendly and helpful approach and attitude toward internal and external clients. Effectively communicates and develops good working relationships with all associates and clients; professional workplace appearance and conduct; honesty and integrity in all client and associates communications; reliability in reporting to work regularly and on time; understand company policies and procedures and applicable state and federal regulations. Participates in office training opportunities and appropriate job specific professional development. Multi-tasks and effectively manages varying duties throughout the workday. Demonstrates professionalism, commitment to the job, and loyalty to AIS Planning.
Knowledge, Skills and Abilities:
Bachelor degree in relevant discipline preferred or equivalent experience preferred. Experience in the financial services industry desired but not required. FINRA Series 65 is preferred but can be obtained within first 12 months of employment. Must possess an appreciation for the financial planning process and have excellent analytic, interpersonal, organizational and time management skills. Ability to handle multiple tasks and operate on tight deadlines is required. Must possess courteous and professional customer service attitude; excellent verbal and written communication skills for interacting professionally with clients (both pleasant and difficult situations) and associates. Has the ability to maintain the integrity of highly confidential client and company information. Must possess strong computer skills, technical ability to input and retrieve computerized information; strong analytical and decision making abilities; strong mathematical skills and legible handwriting. Must be able to prioritize, manage time and multiple projects with grace and ease. Consistently use effective problem solving and technical research skills. Must be a self-starter and independent thinker and meet goals as outlined by the organization.
Working Conditions:
Work is performed largely in an office environment with minimal chance for personal injury. You will experience regular contact with clients and associates. Regular mental and visual concentration for computer usage required. You will have regular use of telephone, repetitive use of keyboard for approximately 4 hours per day which requires near and mid range visions. You will receive and provide detailed information through verbal and written communication. You will alternate sitting, standing and walking throughout the work shift, including bending, turning, lifting and carrying up to 25 pounds in documents and office supplies. Work is performed generally during regular business hours. There will be some variation in work hours due to special projects, deadlines, community events and other concerns.
Equipment Used:
Operates a personal computer both MAC and Windows operating systems are used. You will use word processing, spreadsheets, email, Internet and other financial planning specific software. Utilizes a variety of office equipment including computer, printer, 10 key calculator, fax, copy machine, mail machine, multi line telephone and video chat system.
Are you the very best at follow-through? Do people call you an overachiever? Do you actively seek out problems to solve? If so, you are responsible, driven and a natural problem solver. This opportunity at AIS Planning might be the perfect fit for you.
Join our team today. See attached job description. If you have any questions please contact Kristin Darnall r 320-252-6552.
Position: Client Services/Operations Specialist Page 2