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. Responsibilities include reviewing clients’ current portfolio design, understanding client goals, entering client data, and conducting financial analysis; serving as relationship manager for a subset of existing clients; evaluating retirement needs and implementing planning alternatives; researching and providing recommendations related to risk management; designing tailored financial analysis or comprehensive financial plans; preparing presentations; performing detailed document reviews; researching and writing customized financial plan observations and recommendations; preparing files for client meetings; coordinating communication with clients; monitoring clients’ financial situations; responding to client questions; educating clients on securities markets; providing guidance on estate planning, education funding, and small business planning; conducting research on income tax and legal issues; participating in client presentations; obtaining and verifying client purchase and sale instructions; ensuring compliance with firm and regulatory policies; and performing other duties as assigned. Skills required include knowledge of investment concepts, economic and accounting principles, financial markets, financial planning regulations, company policies, presentation skills, client needs identification, software application proficiency, task prioritization, quality standards adherence, document interpretation, communication skills, customer service, relationship building, teamwork, and continuous learning. Education/Experience requires a Bachelor’s Degree in a related field with 3-5 years of experience in financial, retirement, and estate planning or marketing these services, or an equivalent combination of experience, education, and/or training. Licenses/Certifications required include SIE (unless exempt), Certified Financial Planner, Series 7, and Series 63, 65 and/or 66 as required by state. Travel is less than 25%.
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