Financial Planner

Dallas, Texas
Dependent on qualifications and experience
Jun 24, 2021
Jul 24, 2021
Employment Type
Full Time
Entry Level
Experience Level
1-4 years
CFP® Certification

Develop and construct high quality and compliant comprehensive advice documents for Financial Advisers’ clients that are customized, researched and technically accurate with recommendations that are appropriate, measurable and actionable.

Key Responsibilities and Accountabilities:


  • Collaborate with Financial Advisors across the nation via multiple communication platforms (in-person, phone, GoToMeeting, email, etc.)
  • Preparing PFO (Personal Financial Organizer), including (but not limited to) Financial Plan, Statements of Advice, Records of Advice and Value Propositions, while ensuring compliance with industry regulations regarding financial advice
  • Adhering to budgets for produced documents
  • Ensure turnaround times and deadlines are appropriately managed
  • Researching existing and potential replacement products in order to prepare the most appropriate recommendation for a client in an advice document. E.g. product comparisons, insurance analysis and quoting, contacting funds for information
  • Prepare advice in accordance with Certified Financial Planning advice guidelines
  • Ensure advice is prepared in accordance with our licensee policies and guidelines
  • Ensuring quality and compliance of documents prepared
  • Manage relationship with financial advisor and other team members to ensure consistent delivery of services, within agreed timeframes and fee agreements
  • Performing quality and compliance reviews of advice documents, internally and externally, to ensure high levels of quality are maintained
  • Complete projects identified for the overall team to enhance services within the team or wider business
  • Works with CCO to maintain compliance superiority
    • Maintain good relationships with representatives of our external financial partners
  • Assist the CEO in annual and strategic planning
  • Complete reporting to the executive committee

Job Requirements


  • Must possess ability to engage others and to work collaboratively with all departments across the company.
  • Must have ability to manage multiple priorities effectively with a strong commitment to achieving the goals of the department and the firm.
  • Understanding of Financial Planning process, with a high level of detail & accuracy
  • Excellent inter-personal skills, both written and verbal
  • Ability to achieve agreed outcomes without supervision
  • Ability to work independently and within a team
  • Bachelor's degree
  • 1-3 years of progressive career experience
  • Financial Services industry experience preferred
  • CFP (Certified Financial Planning designation) preferred

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