Financial Paraplanner I

• December 3, 2025
• 4:21 pm

John G. Ullman & Associates, Inc. is seeking a Financial Paraplanner to join our firm. This is an essential position in our firm that will play a significant role in our strategic plans.

The focus of this position is to support the members of the Wealth Management Team by performing a full range of administrative and financial paraplanning work for their clients. Work in conjunction with members of the Team and/or directly with clients on behalf of the Team to service and support the day-to-day needs of the clients to support their financial objectives and to strengthen the firm’s relationships with our clients and their families.

Job Duties:

Administrative Processes:

• Quarterly Reports: review for accuracy and distribute in a timely manner. Coordinate the mailing of paper reports.

• Tax Information: all tax information will be gathered, audited, approved, and distributed in a timely manner. Review internal tax packets, reconcile internal data with Broker provided 1099’s, assist the President in organizing tax data in the tax organizer.

• Restriction Review: review restrictions on client accounts to ensure that the restrictions are accurate and are considered necessary to achieve client objectives. Work with the appropriate team members and departments to expire restrictions that are determined to be no longer needed.

• RMD Compliance: maintain and update the RMD tracking system on a weekly basis. Ensure the team has the information they need regarding the status of their RMDs to support the team’s objective of having all RMDs completed by a defined date.

• Information Services Process Liaison: serve as the team’s liaison for cash requests, paperwork, gifting, and other informational processes to ensure that client requests are completed and processed in an accurate and timely manner. Responsible for follow-up to ensure all information is sent to the client in a timely manner.

• On-Boarding New Clients: responsible for managing and coordinating the client on-boarding process from inception to completion, working with each department to ensure all of the steps are completed accurately and in a timely manner. Enter all information into Pivotal, including all specific action steps with supporting documentation.

Financial Planning:

• Proactively or as assigned, complete basis financial planning projects to support the members of the Team and the clients they are assigned as the primary.
• Project areas include Balance Sheets, Risk Segmentation, Insurance Outline and Shopping, Estate Planning Support, Financial Plan Input, etc.
• Complete basic tax plans based on each client’s situation in a timely manner.

Income Tax Preparation:

• Support the team’s Tax Preparation process.
• Update the tracking spreadsheet on a daily basis.
• Input tax returns assigned to the team
• Process tax returns assigned to the team to store the information digitally.

Client Meeting Management & Preparation:

• Manage annual client meeting protocol for clients the members of the Team are assigned as primary.
• Review the client meetings for the year to develop an annual schedule for client meetings.
• Conduct a monthly review of upcoming client meetings to confirm the schedule and details for the meeting.
• Proactively prepare the members of the Team for client meetings, including preparing and reviewing reports for accuracy and gathering any forms that will be reviewed and completed during the meeting.

Client Service & Support:

• Initiate and answer specific and general questions concerning clients.
• Intermediary with Third Parties including Brokers/Custodians, insurance providers, attorneys, and such to assist clients with all aspects of relationship management.
• Work directly with clients for cash needs, RMDs, gift requests including QCDs, family gifting, charitable gifts of cash and securities to be processed by Information Services.
• Ensure that all miscellaneous client requests are managed and completed in a timely manner.
• Communicate directly with clients or arrange for a member of the team to communicate with clients as follow up to confirm receipt of their request.
• Proactively or in coordination with team, complete all client requests in a time manner.

Required Qualifications:

• Strong Commitment to the highest level of values, ethics, and integrity
• Strong Commitment to providing extraordinary customer service
• Experience working with extremely sensitive and personal information; demonstrated the ability to handle and maintain confidential information in an appropriate manner.
• Associates Degree or the equivalent in training and experience, a Bachelor’s degree or the equivalent in training and experience would be beneficial.
• Will be required to successfully complete the Financial Paraplanner Qualified Professional (FPQP) designation.
• 2 – 4 years of experience in an office setting, 3-5 years of experience in an office setting in support of senior level professionals would be preferred.
• Demonstrated ability to work with and provide high-level administrative and operational support to management is preferred.
• Experience working with clients in a financial services environment would be preferred.
• Must have effective verbal and written communication skills
• Must have strong interpersonal skills and the confidence to serve as the first point of contact for the office/department.
• Must be able to work directly with team members and other departments in the Corporation who provide support, advice and assistance in the management of client relationships.
• Must be proactive and have demonstrated the ability to identify opportunities to take proactive action and the willingness to make decisions and exercise the discretion to act independently.
• Position requires close attention to detail, time management, follow-up on actions, a sense of urgency, a great deal of diplomacy, ability to prioritize and manage stress
• Demonstrated ability to work in a team environment, and the willingness to communicate openly and honestly with members of management, including making recommendations when there are issues and breakdowns in communications.
• Experience working with tax planning applications would be helpful
• Experience working with NaviPlan/Invest Cloud would be helpful
• Proficiency in Word, Excel, PowerPoint, and Publisher.

Equipment, Software and Materials Used:

• Word, Excel, PowerPoint, and Publisher.
• Outlook Email and Calendar
• Financial Planning applications
• Tax Preparation and Tax Planning applications
• Client Relationship Management (CRM) systems

Projected Hiring Range:

Hourly Rate $22.09 – $28.00

About Us:

John G. Ullman & Associates is a wealth management firm committed to bringing human connection, attention to detail and trust to every aspect of financial planning. For over 40 years, we have helped clients plan for a lifetime of financial security, creating highly customized financial plans to manage, grow, and protect our client’s wealth. Our team has grown to include a diverse group of expert financial planners, tax professionals, investment researchers, legal professionals and support staff in three separate New York State Locations; including our headquarters located in Horseheads, NY; and branch offices located in Corning, NY, Rhinebeck, NY and Charlotte, NC.

To Apply:

If you are interested in applying, please fill in form below or, e-mail a letter of interest and resume to Stephany Achterberg at achterbergs@jgua.com.