Course Description

Financial Planning Processes and Workflows is the second component of the Financial Planning Associate - Paraplanner Certificate Program
Learn about financial planning best practices for communications, reporting, and record-keeping over the course of eight modules:

  1. Financial Planning Processes and Workflows (2 sessions)
  2. Client Onboarding Best Practices (2 sessions)
  3. Creating Client Presentations, Proposals and Reports (2 sessions)
  4. Communication with Clients (1 session)
  5. Regulation and Compliance (1 session)
  6. Digital Marketing for Financial Planning (1 session)
  7. Working as a Virtual or Contract Paraplanner (1 session)
  8. Workshop: Excel for Financial Planning (1 session)

Course Outline

Financial Planning Processes and Workflows (2 sessions)

  • The advisor­-paraplanner relationship, interaction and dynamic
  • Typical planning processes and methodologies
  • Financial planning teams and how they work
  • Data gathering and entry processes
  • Best practices in client notetaking and documentation
  • What is needed for effective and compliant Customer Relationship Management
  • Working and collaborating with other specialists
  • Applying project management methods to financial planning
  • Contributing to process improvement
  • Scaling processes for growth

Client Onboarding Best Practices (2 sessions)

  • Overview of client-onboarding processes
  • Client data management and scope of relationship
  • Opening new accounts and creating new client files
  • Collecting the right data from clients
  • Working with custodians
  • Data collection forms
  • Facilitating transfers
  • Creating and maintaining client files
  • Researching client history
  • Organizing client files for searchability and history
  • Follow up with clients – processes and strategies

Creating Client Presentations, Proposals and Reports (2 sessions)

  • Charts, graphs, tables and visual aids
  • Data visualization for financial planning
  • Introduction to behavioral finance
  • Personalization of proposals
  • Reading the client in meetings and debriefing the lead advisor
  • Preparing the lead advisor before the meeting

Communication with Clients (1 session)

  • Phone, email and in-person tips and best practices and templates
  • Client follow-up processes
  • Terms to use and to avoid when communicating with clients
  • Overview of soft skills, interpersonal skills, and tone

Regulation and Compliance (1 session)

  • How regulations and standards are set
  • Common technical and practice management compliance
  • Communicating with clients
  • Professional conduct compliance
  • Fiduciary and suitability standards
  • Record keeping
  • Recognizing unusual and suspicious transactions
  • Diagnosing and fixing weaknesses
  • A paraplanner compliance checklist
  • Staying up-to-date with new regulations

Digital Marketing for Financial Planning (1 session)

  • Marketing regulations for financial planning
  • Social media, content development and branding principles
  • Newsletters and blogging
  • Generating and promoting referrals

Working as a Virtual or Contract Paraplanner (1 session)

  • How to get started
  • What to offer and whether to specialize
  • Building your business
  • Pricing and billing for different services
  • Contracts and agreements

Workshop: Excel for Financial Planning (1 session)

  • Creating great charts and graphs
  • Pivot tables
  • Time Value of Money (TVM) calculations on Excel
  • Discounted Cash Flow (DCF) using Internal Rate of Return (IRR) and Net Present Value (NPV) on Excel
  • Risk analysis
  • Other tips and tricks for financial planners





Students may register for this course à la carte, or as one component of the Financial Planning Associate - Paraplanner Certificate Program.

Excel for Financial Planning Workshop:

Applies Towards the Following Certificates



Financial Paraplanner Application

Enroll Now - Select a Section

Section Title
Financial Planning Processes and Workflows
Section Schedule
Date and Time TBA
Delivery Options
Live in Classroom  
Course Fee(s)
Registration Fee non-credit $995.00
Required fields are indicated by .