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, and conducting financial analysis; evaluating overall individual and employer-based retirement needs, researching various options, and recommending planning alternatives; researching and providing recommendations related to risk management concerns, including insurance; designing and recommending a tailored financial analysis or comprehensive financial plan for clients and prospects that meets their short and long-term financial needs and goals; preparing presentations that clearly communicate the recommendations and alternatives related to the client’s financial analysis and comprehensive plan design; performing detailed document reviews; analyzing client information and situations across the financial planning spectrum to develop plan; researching information as necessary on a case-by-case basis and writing customized financial plan observations and recommendations for each client case; preparing files for meetings with existing and new clients; preparing, coordinating and following through on any needed communication with new or existing Clients; continuously monitoring clients’ financial situations with detail and accuracy, with the ability to look at their overall financial picture; responding to client questions by telephone, email and occasional personal visits; educating client on the functions of various securities markets and the principal factors that affect them; providing guidance on estate planning options and techniques; responding to and directing education funding questions including 529 savings plans; assisting with guidance on small business planning; conducting research as needed related to assigned client cases, including but not limited to basic income tax questions and other legal issues requesting guidance when appropriate; 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. Education/Previous Experience requires a Bachelor’s Degree (B.A.) in related field with a minimum of two (2) years of experience in the financial, retirement and estate planning field or in marketing these services, or any equivalent combination of experience, education, and/or training as approved by Human Resources. Licenses/Certifications required include SIE (unless exemption or grandfathering applies), Series 7, Series 63, 65 and/or 66 as required by state, and Registered Paraplanner designation or the ability to obtain within two (2) to five (5) years of hire.
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