Job Description

Under limited supervision uses specialized knowledge and skills obtained through experience, specialized training, or certification to serve as a resource to Financial Advisors and 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. Reviews clients’ current portfolio design, understands client goals, enters client data, and conducts financial analysis. Serves as relationship manager for a subset of existing clients, at discretion of lead Financial Advisors. Evaluates overall individual and employer-based retirement needs, researches various options, and implements planning alternatives. Researches and provides recommendations related to risk management concerns, including insurance. Designs 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. Researches information as necessary on a case-by-case basis and writes customized financial plan observations and recommendations for each client case. Prepares files for meetings with existing and new clients. 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 the look at their overall financial picture. Responds to client questions by telephone, email and occasional personal visits. Educates client on the functions of various securities markets and the principal factors that affect them. Provides guidance on estate planning options and techniques. Responds to education funding questions including 529 savings plans. Provides guidance on small business planning. Conducts research as needed related to clients, including but not limited to basic income tax questions and other legal issues requesting guidance when appropriate. Participates in client presentations. Obtains and verifies the client’s purchase and sale instructions, enters orders, and follows up on completion of transactions. Ensures firm and regulatory policies are followed within compliance standards. Perform other duties and responsibilities as assigned. Fundamental investment concepts, practices and procedures used in the securities industry. Economic and accounting principles and practices, the financial markets, investments and insurance based products. Concepts and regulations related to financial planning. Company’s working structure, policies, mission, strategies, and compliance guidelines. Delivering clear, effective, and professional presentations. Identifying the needs of customers through effective questioning and listening techniques. Operating client relationship manager system and other required software applications to produce financial plans, correspondence, reports, electronic communication, spreadsheets, and databases. Following-up to ensure resolution and completion of tasks. Operate client relationship manager system and other required software applications to produce financial plans, correspondence, reports, electronic communication, spreadsheets, and databases. Prioritize workload, handle multiple tasks, and meet deadlines. Ensure quality standards are met without impairing workflow. Incorporate the financial needs and goals of a client into a succinct, professional presentation outlining their options. Read and interpret technical and legal documents and apply the information as appropriate. Organize, manage, and track multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment with frequent interruptions and changing priorities. Use oral and written communication skills sufficient enough to interact effectively with and guide clients on various planning options. Continuously learn investment products, industry rules and regulations, and financial planning. Provide a high level of customer service in a calm, courteous and professional manner. Establish and maintain effective working relationships at all levels of the organization with clients. Work independently as well as collaboratively within a team environment. Analyze daily activity reports for sales practice, suitability, and performance issues.

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