Financial Planning Consultant

Responsibilities

• Partners with Financial Advisor to review clients’ current portfolio design, understand client goals, enter client data, and conduct financial analysis.
• Evaluates overall individual and employer-based retirement needs, researches various options, and recommends planning alternatives.
• Researches and provides recommendations related to risk management concerns, including insurance.
• Designs and recommends a tailored financial analysis or comprehensive financial plan for clients and prospects that meets their short and long-term financial needs and goals.
• Prepares presentations that clearly communicate the recommendations and alternatives related to the client’s financial analysis and comprehensive plan design.
• Performs detailed document reviews; analyzes client information and situations across the financial planning spectrum to develop plan.
• Prepares, coordinates and follows through on any needed communication with new or existing clients.
• Continuously monitors clients’ financial situations with detail and accuracy, with the ability to look at their overall financial picture.
• Responds to client questions by telephone, email and occasional personal visits.
• Provides guidance on estate planning options and techniques.
• Responds to and directs education funding questions including 529 savings plans.
• Affords assistance with guidance on small business planning.
• Conducts research as needed related to assigned client cases, including but not limited to basic income tax questions and other legal issues requesting guidance when appropriate.
• Might participate in client presentations.
• Might open, transfer, and close customer accounts and maintain appropriate account records.
• Might obtain and verify the client’s purchase and sale instructions, enter orders, and follow up on completion of transactions.
• Ensures firm and regulatory policies are followed within compliance standards.

Requirements

• Bachelor’s degree in a related field and three years’ experience in the financial services industry with an emphasis on financial, retirement and estate planning field or in marketing these services ~or~ An equivalent combination of experience, education and/or training as approved by Human Resources.
• SIE required provided that an exemption or grandfathering cannot be applied.
• Series 7, Series 63, 65 and/or 66 as required by state or ability to obtain within six months.