Under limited supervision uses specialized knowledge and skills obtained through experience, specialized training or certification to serve as a resource to Financial Advisors and their clients regarding overall financial planning issues which may include portfolio design, income tax consulting, retirement planning, qualified retirement plans, risk management, estate planning, education funding, and small business planning. Continuously gains knowledge of the financial industry and markets through on-going education. Essential Duties and Responsibilities include partnering with Financial Advisor to review clients’ current portfolio design, understanding client goals, entering client data, conducting financial analysis, evaluating retirement needs, researching options, recommending planning alternatives, providing risk management recommendations, designing tailored financial plans, preparing presentations, performing document reviews, writing customized financial plan observations, preparing files for client meetings, coordinating communication, monitoring clients’ financial situations, responding to client questions, educating clients on securities markets, providing estate planning guidance, responding to education funding questions, assisting with small business planning, conducting research on client cases, participating in client presentations, managing customer accounts, ensuring compliance with firm and regulatory policies, and performing other duties as assigned. Qualifications include knowledge of investment concepts, economic and accounting principles, financial markets, financial planning regulations, effective communication skills, client relationship management software proficiency, organizational and time management skills, attention to detail, ability to read and interpret technical and legal documents, ability to work independently and collaboratively, and commitment to continuous learning. Educational requirements include a Bachelor’s Degree in a related field with at least two years of relevant experience or equivalent combination of experience and education. Required licenses/certifications include SIE, Series 7, Series 63, 65 and/or 66, and Registered Paraplanner designation or ability to obtain within 2 to 5 years of hire.
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