Lead Financial Planner

Key Responsibilities

• Lead the development and delivery of comprehensive financial plans for high-net-worth and mass-affluent clients, integrating investment, retirement, tax, estate, insurance, and cash flow strategies.
• Manage and mentor a team of financial planners and support staff, providing training, review of planning work, and performance feedback to ensure consistent, high-quality advice.
• Serve as the primary point of contact for complex client relationships, conducting ongoing reviews, adapting plans to life changes, and coordinating with external professionals (CPAs, attorneys) as needed.
• Oversee portfolio implementation and rebalancing in partnership with investment teams; monitor AUM growth and work to optimize client asset allocation and fee relationships.
• Ensure compliance with regulatory requirements and internal policies, including supervision related to Series 65 activities and adherence to CFP Board standards and FINRA rules where applicable.
• Lead business development and client retention initiatives, participate in prospect meetings, and contribute to marketing efforts and referral programs to grow the practice.
• Design and refine processes and tools for scalable, repeatable financial planning delivery, including model plan templates, client reporting, and technology integration for planning and CRM systems.
• Evaluate and recommend insurance solutions (life insurance, annuities, long-term care) when appropriate, and coordinate with licensed producers to implement products in clients' plans.
• Stay current on industry trends, tax law changes, investment strategies, and planning best practices to continually enhance the firm's service offering.

Qualifications

• Certified Financial Planner (CFP) designation is nice to have. Series 65 license required; Series 66 or Series 7 is a strong plus; FINRA registration experience preferred.
• Minimum 3+ years of experience as a financial planner or wealth advisor, with demonstrable experience leading client relationships and/or teams in a wealth management setting.
• Deep technical knowledge of financial planning disciplines including retirement income planning, tax-aware investing, estate planning coordination, insurance analysis (life, long-term care), and annuities.
• Proven experience working with AUM-based practices and understanding of fee models and asset management processes.
• Exceptional interpersonal and communication skills with a client-first, fiduciary approach and the ability to explain complex concepts clearly to diverse clients.
• Strong leadership and project management skills, including experience coaching staff and improving practice workflows and technology adoption.
• Ability to coordinate with external professionals and work cross-functionally within a firm (investment, compliance, tax).
• Bachelor's degree in finance, accounting, economics, or a related field preferred; advanced degree is a plus.
• High ethical standards, attention to detail, and commitment to maintaining compliance with regulatory and professional standards.

Benefits

• Medical
• Dental
• Vision
• 401(k) w/ match
• PTO
• Excellent work-life balance