Senior Operations & Planning Associate

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.

• 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

ESSENTIAL DUTIES AND RESPONSIBILITIES 

•    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.

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:

• 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

*Available the first of the month following date of hire

Equal Opportunity Employer; SMS participates in the E-Verify system

#LI-DR2