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CERTIFIED FINANCIAL PLANNER™ (CFP®) Professional

Employer
Global Wealth Strategies & Associates (GWS&A)
Location
Denver, Colorado
Salary
Negotiable, based on AUM and joint business revenue
Closing date
Aug 7, 2023

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Job Role
Financial Planner
Employment Type
Full Time
Level
Experienced
Experience Level
5 to 9 years
CFP® Certification
Required

Job Details

GWS&A, a Denver-based boutique Registered Investment Advisor (RIA) is looking for a Financial Planner to join our growing team. At GWS&A, we pride ourselves in working as a team to support individuals, families and businesses to achieve their financial goals. This role is a permanent, full-time, in-office position, at the GWS&A office in south Cherry Creek, Denver, CO.

We are seeking a CERTIFIED FINANCIAL PLANNER™ Professional (CFP®) with the ability to bring a book of business in tow of at least $10mm in AUM. In addition to this existing book of business, GWS&A would provide a book of business for the CFP® to maintain and grow. This would be a 100% commission-based role, with no sales targets or minimums. We would expect the CFP® to work the existing book and GWS&A would provide the tools, technology, office, and administrative support to maximize your success. In addition, GWS&A would offer additional training and support for new credentials, one on one sales training with senior staff as well as immediate administrative support to help bring your existing clients over from your current book of business.

This is an ideal opportunity for an up-and-coming CFP®, who is still building a book of business and wants a better financial split than with their current firm.

Minimum Requirements

  • Ability to transition a book of business in excess of $10mm.
  • A valid and active Series 65/66 license is required or the ability to obtain the certification before starting in the role.
  • Bachelor’s degree, is preferred.
  • A valid and active Life, Health and Long-Term Care Insurance license.
  • Minimum of 3-5 years working in an Advisor role.
  • Certified Financial Planner (CFP®) certification is preferred, or the ability to obtain the certification.
  • Strong history of success in sales of insurances and/or other financial products.
  • We will give preference to applicants with prior military experience.
  • We will give preference to applicants who have been trained by Northwestern Mutual.

Duties and Responsibilities

  • Establish, maintain, and grow client relationships.
  • Build and maintain client base, keeping client plans up-to-date and acquire new clients on an ongoing basis.
  • Analyze financial information obtained from clients to determine strategies, financial products, and services to help clients meet their financial objectives.
  • Contact clients periodically to determine if there have been changes in their financial status.
  • Sell financial products and services including life insurance and investment options.
  • Anticipate and assess client needs, risk tolerance models, and perform account maintenance including opening new accounts, money transfer requests, executing orders, address changes, etc.
  • Markets services by asking for referrals from current clients, meeting prospects at community functions, responding to inquiries, and developing promotions.
  • Commits to ongoing growth of skill sets and job competencies by constantly engaging in industry related news, products, and compliances and regulation.
  • Perform other duties as assigned.

Knowledge, Skills, Abilities

  • Results-driven, highly motivated, self-starter who possesses integrity, a strong work ethic, and the desire to help others plan for and protect their financial futures.
  • Excellent understanding of the financial industry, compliance regulations, daily operational duties, and investment brokerage/banking products.
  • Experience with investments, portfolio analysis, and asset allocation.
  • Demonstrated success in client acquisition, cultivating and maintaining client relationships, and integrating with key partners.
  • Ability to listen to client needs and provide financial solutions.
  • Demonstrated critical thinking and problem-solving skills.
  • Excellent communication and organizational skills.
  • Must be able to work with minimal supervision, prioritize and effectively manage multiple tasks at once.
  • Interpersonal and professional manner in dealing with clients and employees.
  • Highly organized with excellent attention to detail.
  • Strong community presence with a strong network of personal and business contacts.
  • Entrepreneurial spirit and drive.

The above statements are intended to describe the general nature and level of work being performed by people assigned to this classification. They are not to be construed as an exhaustive list of all responsibilities, duties, and skills required of personnel so classified. All personnel may be required to perform duties outside of their normal responsibilities from time to time, as needed.

Global Wealth Strategies & Associates provides equal employment opportunities to all employees and applicants for employment and prohibits discrimination and harassment of any type without regard to race, color, religion, age, sex, national origin, disability status, genetics, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by federal, state or local laws.

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