Financial Planning Consultant

Responsibilities

• Partners with Financial Advisortoreviewclients ’currentportfoliodesign,understand client goals, enter client data, and conduct financial analysis.

• Evaluatesoverallindividualandemployer-basedretirementneeds,researches various options, and recommends planning alternatives.

• Researchesandprovidesrecommendationsrelatedtoriskmanagementconcerns,including insurance.

• Designsandrecommendsatailoredfinancialanalysisorcomprehensivefinancialplanfor clients and prospects that meets their short and long-term financial needs andgoals.

• Preparespresentationsthatclearlycommunicatetherecommendationsandalternatives related to the client’s financial analysis and comprehensive plan design.

• Performsdetaileddocumentreviews;analyzesclientinformationandsituationsacrossthe financial planning spectrum to develop plan

• Researchesinformationasnecessaryonacase-by-casebasisandwritescustomized financial plan observations and recommendations for each client case

• Prepares files for meetings with existing and new clients

• Prepares,coordinatesandfollowsthroughonanyneededcommunicationwithnewor existing clients

• Continuouslymonitorsclients’financialsituationswithdetailandaccuracy,withtheabilityto the look at their overall financial picture

• Responds to client questions by telephone, email and occasional personal visits.

• Educatesclientonthefunctionsofvarioussecuritiesmarketsandtheprincipalfactorsthat affect them.

• Provides guidance on estate planning options and techniques.

• Responds to and directs education funding questions including 529 savings plans.

• Assists with guidance on small business planning.

• Conductsresearchasneededrelatedtoassignedclientcases,includingbutnotlimitedto basicincometaxquestionsandotherlegalissuesrequestingguidancewhenappropriate.

• May participate in client presentations.

• May open, transfer, and close customer accounts and maintain appropriate account records.

• May 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

• Perform other duties and responsibilities as assigned.

• 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

• Series7

• Series 63, 65 and/or66 as required by state or ability to obtain within sixmonths