Established independent financial planning firm with 40+ years’ experience providing services to our clients. We believe personalized planning is key and provide financial planning, retirement planning and investment management services. Our growth has been consistent, and we are well-positioned to make a couple of client-facing hires.
Our thought process is to hire a Paraplanner and Associate Advisor that are nearly ready to take the next step in their careers to Associate Advisor and Lead Advisor respectively. However, being nimble allows us the flexibility to consider candidates that are light on experience or candidates that are more senior than this original plan. The most important characteristics are someone that can work directly with clients, anticipating their needs, resolving client problems, and following through on agreed upon financial plans. Qualified candidates will be detail oriented and have a high degree of follow through. Must be comfortable working within the framework of a small team environment.
Duties and Responsibilities: Depending on level of experience, may include some or all of below
- Communicating with clients: their needs, objectives, goals, concerns and planning tools; communicating and representing client with those outside the organization, and other external sources to carry out the goals of client service.
- Provide guidance and expert advice to management, clients, or other groups outside the organization on technical financial planning and investment planning needs, systems, or process-related topics.
- Ensures the compiling, coding, categorizing, calculating, tabulating, auditing, reconciling, downloading and verifying of client data in the organizations’ client related software programs, including CRM’s, Financial Planning Software, Investment Management software, and other related or connected programs is completed according to procedure.
- Observing, receiving, and otherwise obtaining information from all relevant sources to make sure client accounts are up to date. Translating or explaining what information means and how it can be used by other professionals.
- Identifies concerns, problems or opportunities within client accounts or households and notifying, updating or correcting the client information prior to it becoming a problem for the more professional advisors or the relationship with the client.
- Analyzes information and evaluating results to choose the best solution to solve client or operational problems and being accountable and held responsible for those decisions.
- Actively participate in all assigned Advisor client meetings.
- Actively document all notes and action items during client meetings and ensure all commitments made by the Advisor are being completed in a timely manner.
- Review task assignments for each client and work directly with team members to ensure all follow-up and action items as a result of client meetings are documented in CRM and completed within the specified time frame.
- Under the direct oversight of the Advisor, actively engage in Client Case Prep meetings, providing recommendations and feedback relative to the client’s financial plan as appropriate.
- Responsible for reviewing statements, forecasting review data, developing a meeting agenda format, creating presentations, case documentation and deliverables for all assigned clients.
- Holds an in-depth understanding of time value of money: present value, future value, annuity payments, internal rate of return and compounding interest.
- Engage and prepare client onboarding requirements with financial planning software.
- Update CRM with client data and work through client process.
- Bachelor’s Degree required
- Series 7/63/65/66 licensed or 90 days to acquire
- CFP designation or work towards this designation highly preferred
- People oriented, service minded
- Strong written and verbal communication
- Proficient in Word, Excel and CRM software
- Understanding of compliance and adherence to all regulations and policies
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