Broker Check

Financial Paraplanner

Job Title: Financial Paraplanner

Job Summary: Responsible for providing client service, sales, operational and administrative support to Operations Team by performing the following:

Duties and Responsibilities include, but are not limited, to the following:

  1. Manages the client relationship including scheduling of meetings, completing service requests and providing information, within regulatory limits.
  2. Reviews client's financial statements, legal documents and other data, then use that information to prepare a summary of client's goals and objectives, including, but not limited to: retirement plans, college savings estimations, and social security calculations.
  3. Conducts trades as directed by Advisors.
  4. Understands components of building a balanced portfolio based on MRK Models, then prepare investment recommendations using that model.
  5. Understands criteria used to identify funds for "Recommended and Watch" list. Stays abreast of market movement and awareness of what the media is reporting.
  6. Prepares documents and reports in advance of client meeting and follow up on post-meeting action items.
  7. Checks Customer Service Logs daily and take action as necessary.
  8. Assists with insurance processing, including obtaining quotes, receiving and disseminating applications, and policy delivery.
  9. Ensures client Required Minimum Distributions are completed prior to year end.
  10. Assists with incoming calls if the main line is busy.
  11. Scans and files documents into e-File data storage.
  12. Other duties as assigned.


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

Language Ability:

Ability to read, analyze, and interpret common scientific and technical journals, financial reports, and legal documents. Ability to respond to common inquiries or complaints from customers, regulatory agencies, or members of the business community. Ability to write speeches and articles for publication that conform to prescribed style and format. Ability to effectively present information to top management, public groups, and/or boards of directors.

Math Ability:

Ability to calculate figures and amounts such as discounts, interest, commissions, proportions, percentages, area, circumference, and volume. Ability to apply concepts of basic algebra and geometry.

Reasoning Ability:

Ability to solve practical problems and deal with a variety of concrete variables in situations where only limited standardization exists. Ability to interpret a variety of instructions furnished in written, oral, diagram, or schedule form.

Computer Skills:

To perform this job successfully, an individual should have knowledge of Microsoft Word; Microsoft Excel; Morningstar; Microsoft Outlook, E-File software and/or other financial software.


Bachelor's degree (B. A. / B. S.) from four-year college or university; or four to six years related experience and/or training; or equivalent combination of education and experience.

Certificates and Licenses:

Series 7 and 63 license is required, MN Insurance License preferred or willing to obtain in the future.

Knowledge, Skills and Other Abilities:

  • Excellent oral and written communication skills
  • Ability to multi task efficiently in a fast paced environment
  • Detail oriented
  • Highly organized and able to prioritize work
  • Reliable 

Physical Demands:

The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

While performing the duties of this job, the employee is regularly required to sit; use hands; reach with hands and arms and talk or hear. The employee is frequently required to stand; walk and climb or balance. The employee is occasionally required to stoop, kneel, crouch or crawl and taste or smell. The employee must occasionally lift and/or move up to 10 pounds.

Work Environment:

The work environment characteristics described here are representative of those an employee encounters while performing the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.